Kicker Russell Erxleben allegedly made false promises about WWI German bearer bonds and a Paul Gauguin painting
After receiving a fair amount of negative comments from reps, Finra is backtracking on its plan to end the 5% markup rule.
New Year's Eve legislation that averted trillions of dollars of automatic tax increases and spending cuts was brimming with provisions that permanently extended many Bush administration tax cuts. What was missing, however, was language that provided direction on comprehensive tax reform. All kinds of ideas are filling the void.
Finra is seeking comments on its controversial bonus disclosure plan. Don't expect any love letters.
Many observers think newly designated SEC chair Elisse Walter will be a lame-duck boss. They may be wrong. <a href=http://www.investmentnews.com/article/20121127/FREE/121129970>Dwyer: Krawcheck, please</a> &raquo;
Union paid $4.8M to members of union chief's family for financial planning, legal services
Regulatory reform and protecting independent contractor reps also big.
Finra wants to tighten up its arbitration procedure. For starters, the self-regulator aims to bar hedgies and mutal fund executives from panels.
Politics trumps logic, basic math in Capitol Hill cat fight
Allegedly tipped girlfriend, business partner about M&A deals
To start scrapping savings incentives would undermine the foundation of our retirement system, risking wider damage
Debt-ceiling dodge proposed by Dems holds no currency with agency
Republican Commissioner Gallagher praises Walter's outreach.
Would succeed Walter, who took over as chairman last month.
Why President Obama's 'designation' of Elisse Walter as SEC chairman was a shrewd political move. | <a href=http://www.investmentnews.com/article/20121127/FREE/121129970>Dwyer: Krawcheck, please</a> &raquo;
Fur still flying over SEC's delay in allow advertising for Reg D offerings and the like
