Executives at life insurance companies can breathe a sigh of relief now that the proposed federal long-term-care insurance program — the CLASS Act — has been killed
Failure to reform money-market funds would be a mistake: Economist panel
GOP relying more on financial analysis than legislation to slow industry reform
Donnan and partner convinced coaches, ex-players to invest in merchandise scheme, commission claims; worked as college football analyst for ESPN
Delaplane tells advisers he's not optimistic that 'grown-ups' will prevail on Capitol Hill
New research from industry groups shows that macroeconomic events are more to blame for volatility than exchange-traded funds
The American Society of Pension Professionals and Actuaries and its sister organization The Council of Independent 401(k) Recordkeepers have asked the Labor Department for more time to meet enhanced fee disclosure requirements.
Group storms Capitol Hill to protect retirement savings vehicles
Goldman Sachs failed to implement policies to keep its stock analysts from tipping select clients about upcoming research changes, SEC says.
Insurer to pay nearly $10M to close case; states claim carrier had commission arrangement with Uvest, ProEquities
A Finra arbitration panel has awarded a couple $2.1M over unsuitable tenant-in-common exchange investments
The Financial Services Institute Inc. is planning to finance its beefed-up lobbying efforts with big dues increases to its broker-dealer member firms.
Despite months of legal wrangling with his former employer, TCW Group Inc., it appears that Jeffrey Gundlach's move to start his own firm is paying off
Both legislative actions designed to make a point — not to make it into law
Lawmakers including Senators Carl Levin of Michigan and Jeff Merkley said Greg Smith's article showed why the U.S. needs tighter restrictions on Wall Street practices.
DOL said to be investigating claims Hutcheson stole money from plan sponsors; he trumpeted fiduciary standard to Congress
“There have been hundreds of money fund bailouts, where the funds would have broken the buck if the manager hadn't stepped in,” said Robert E. Plaze, deputy director of the Securities and Exchange Commission's Division of Investment Management
Police claims James Scott McKee stole $584K from three investor; Finra alleges rep deceived clients for more than five years
Not every ballplayer can cash in like Prince Fielder, but at least arbitrators were there to backstop ex-Red Sox catcher Doug Mirabelli, awarding the knuckleball specialist $1.2 million in a suitability case involving Merrill Lynch.
NASAA today said advisers have until April 30 to sign up for a coordinated review program offered by state regulators.
