Using gamification can help further conversations.
SEC Commissioner Daniel Gallagher's proposal that RIAs be required to hire third-party examiners to audit their operations shouldn't be rushed.
House would be next to take up the bill, which could help financial advisers' clients
A judge has frozen client assets managed by Professional Investment Management.
Implementing a rule that would require mandatory background checks on new brokers could help uncover crucial information
Arbitration panel orders Golden Beneficial Securities to pay for failure to supervise
Global regulators face a backlash from some of the world's largest asset managers including Pacific Investment Management Co., Fidelity Investments, and BlackRock Inc. over plans that could single them out for tougher regulation.
On today's <i>Breakfast with Benjamin</i> menu, the housing recovery might have fizzled out. Plus more on junk bond yields, a big Barclays fine and much more.
Congresswoman encourages growth in number of female financial advisers.
Nicholas Schorsch's American Realty Capital Advisors and rival nontraded-REIT sponsor KBS Capital Advisors are locked in a legal battle over proprietary information and trade secrets. Bruce Kelly reports.
On the heels of publishing his new memoir, the former Treasury secretary talks about how today's market lull is reminiscent of the environment leading up to the crisis.
Carolyn Kaufman, a former president of a Prim Capital Corp. advisory services unit, was sentenced to 3 years' probation, including 6 months under house arrest, for lying to a grand jury investigating a fraud against the National Basketball Players Association.
<i>Friday's menu:</i> Ukraine heats up and fund winners and losers come into focus. Plus: Fed-speak clarity: an oxymoron? Bank loan funds fall victim to Fed policy, Obamacare drags us back to the 1950s and banks square off with Big Labor in Vegas.
Now that it looks like the SEC will get an additional $150 million in funding, speculation is mounting on how the funds will be deployed. Is increasing adviser oversight going to be a priority?
Pushing her colleagues to decide whether to propose a regulation to raise investment advice standards for brokers, the SEC chairman called the uniform fiduciary standard 'a primary, immediate focus.' <i>(See what Mark Cuban had <a href="http://www.investmentnews.com/article/20140221/FREE/140229971" target="_blank">to say</a>.)</i>
Two on panel annoyed with regulatory action on "too big to fail"; Gallagher says asset managers shouldn't be considered systemically key.
Securities and Exchange Commission member Daniel Gallagher doubts that his agency will propose its own rule to raise advice standards for brokers providing retail investment advice.
Regulator said IBD didn't adequately train or supervise brokers selling alternative investments and nontraditional ETFs .
Bringing light and due diligence should be a priority for the investment advice industry.
Taking a lead from the SEC, the regulator seeks to understand dangers that lurk online. <i>(Don't miss: <a href="http://www.investmentnews.com/section/video?playerType=Events&eventID=FSI2014&bctid=3147642077001&date=20140203" target="_blank">Which firms are most at risk for cyberattacks?</a>)</i>
