Industry-sponsored research says cost to firms would skyrocket if SEC is replaced by SRO
A battle in California over whether representatives at two broker-dealers are employees or independent contractors could have far-reaching implications at independent broker-dealers across the country
Shortfall may be twice what was previously estimated; 'close to exhausting the funds'
While most of us are already well on our way to breaking our New Year's resolutions to lose weight, exercise more or declutter our desks, here are some ideas for resolutions that financial advisers might want to consider — and stick to — for 2012.
Con artists deluging investors with Internet scams; the latest: an e-mail claiming your firm is being investigated by the SEC's whistleblower office
SEC's cost-benefit analysis could prove to be tricky; a little hard 'to get your arms around'
Judge upholds Finra's earlier decision in muni bond fund dispute; ordered to pony up $54M
The SEC's move to step up enforcement actions against investment advisers is only the tip of the iceberg, according to one former SEC official.
Program is for investment advisers now registered with the Securities and Exchange Commission who must register with anywhere from four to 14 states.
Signatures on letters often followed by 'RIA,' implying earned designation; it's not
The Securities and Exchange Commission has pledged to write more clearly beginning this fall.
Commission said to favor plan requiring funds to hold cash reserves; floating rate NAV for those that don't
More than 70% agree that wealthy should kick in more, but half say they're not wealthy
New Jersey's wealthy saying goodbye to on-demand garbage pick up, hello to higher property taxes
Former South Florida lawyer Scott Rothstein was sentenced to 50 years in prison for using his law firm to run a $1.2 billion Ponzi scheme that financed a lavish lifestyle, bankrolled his firm and bought political influence.
Cuts for larger companies may be paid for by elimination of deductions for LLPs and LLCs
A Finra arbitration panel has ruled against Société Générale SA and a handful of its affiliates, ordering the bank to pay $61 million to a California-based fund manager.
As Finra recently indicated in its summary of this year's examinations, <a href=http://www.investmentnews.com/article/20111221/FREE/111229981>, 2011 was a very busy year.</a>
The U.S. Securities and Exchange Commission appealed a federal judge's decision to reject its proposed $285 million settlement with Citigroup Inc.
