The Financial Planning Association is turning to a Washington, D.C., lobbying firm to beef up its efforts to influence federal and state lawmakers and regulators. The organization hired the Raben Group, a public affairs shop founded by Robert Raben, an assistant attorney general in the Clinton administration.
Senate Internet tax bill could open door to state levies, hitting advisers. Mark Schoeff Jr. has the details.
Letter says Labor rule would make SEC's cost-benefit effort worthless; some disagree.
The SEC on Friday charged indie B-D owner -- and 'Wall Street 2' actor -- Tommy Belesis with fraud, claiming he bullied a fund manager into giving him excessive fees.
Scheme to detonate backups in U.K. abandoned after big hit on forex bets; down 62%
As the debate over carried-interest taxes gains national attention, Robert N. Gordon warns that the levies wouldn't just hit hedge fund managers. Here's why Investors should be worried, too.
Ex-brokers' lawyer claims intimidation from B-D
Public announcements by large shareholders send share price zooming or plummeting; not illegal, but should it be?
Finra says it is investigating REIT maven Tony Thompson for allegedly failing to turn over documents to the regulator. Bruce Kelly reports.
Finra boss Rick Ketchum says there's little chance of RIAs coming under the self-regulator's aegis. The upshot? Finra will focus more heavily on other issues.
Succeeds Elisse Walter, who remains a commissioner.
Massachusetts securities cops want background checks on would-be advisers. And some industry experts say the move could catch on in other states.
SEC's Walter warns that at smaller shops, compliance can fall between the cracks.
Appeals court in California says brokerage firms can force employees to hold accounts in-house, that flexibility in in trading policies rules.
Mary Beth Franklin looks at the Government Pension Offset, which can can turn retirement planning upside down.
NASAA also backs SEC exam user fee, wants crowd-funding redress.
Agency still hasn't gotten down to brass tacks on what rule would cost
Don't crank out those arb contracts just yet. Finra is challenging a ruling that OK'd waiver contracts, in which a client signs away the right to file a class-action lawsuit.
Orders Securities and Exchange Commission to pay back $7,500 fine.
