Proposal would hike investment taxes — and impose a transaction fee — but cut taxes for households under $200,000 income.
Failing to supervise research analysts and their handling of material non-public information at issue, Finra says.
Finra accused Bambi Holzer of lying to one of her former broker-dealers in sales of Provident Royalties deals. Now she's barred from the securities industry. Bruce Kelly has the story.
Advisers have reason to want a change in how congressional decisions affecting their businesses and clients' finances are made.
Paul Krugman is skeptical of the consensus for a rate hike. <i>Plus:</i> The risky downside of oil's slide, passive investing all the rage, Congress actually does something, Americans turn bullish.
Former broker Michael Hadden says wirehouse mislabeled customers' risk tolerance when selling potentially unsuitable products
Estimates range from $5,000 to $20,000; sharp opposition to Finra getting involved.
Finra said the firm failed to deliver documents after ETFs were purchased by clients.
Independent advisers get a dose of inspiration as Tony Robbins continues to champion their cause
Under Mary Jo White, agency is more prone to launch disciplinary action to correct violations than in the past
With three retail firms in the past couple of weeks disclosing disappointing earnings related to compliance and regulatory issues, the question is: Where does this rash of regulatory actions come from?
Agency alleged that he misrepresented the value of a private-equity fund of funds.
In a strange combo, the 'Shark Tank' entrepreneur joined former chairman Christopher Cox in criticizing the agency for the way it handles enforcement actions.
Additional payroll taxes would bolster trust funds initially
Bernard Madoff's inner circle, who benefited from the perks of his $17.5 billion Ponzi scheme, now face jail time.
Breakfast with Benjamin is back. Today: SAC Capital is now a family office; gold and silver start to shine; navigating bonds with ETFs; another debt-ceiling fight; cheaper gas in 2014; and the biggest product flops of 2013.
Finra said the firm overbilled more than 20,000 fee-based accounts in its RIA unit by $2.4 million over seven years and ordered it to pay a $350,000 fine.
Department's plan is to 'reduce harmful conflicts of interest' by amending regulatory definition of fiduciary.
Broker-dealer regulator promises to modify rules after survey identifies 'pain points'.
