Retirees with less than $50,000 in their individual retirement accounts may not have to take required withdrawals under President Barack Obama's proposed budget.
Industry observers are worried that a new Finra reporting rule — set to go into effect July 1 — could open up brokerage firms to enforcement actions.
Senate memo asks regulators to slow down implementation of Dodd-Frank; single standard of care biggest concern
Summary prospectuses for variable annuities are supposed to help consumers make informed decisions about buying these complicated investments
The Financial Industry Regulatory Authority Inc. won't be nominating candidates for a small-firm seat on the board in its election this year.
The Charles Schwab Corp. has come out against the idea of creating a self-regulatory organization for advisers.
Finra warns about slew of pump-and-dump schemes aimed at milking disaster in Nippon
A researcher at the ETF-specialist speculates that a trader may have been making a play on Ariba ahead of the company's earnings announcement.
TD Ameritrade Institutional continues to leverage one factor that distinguishes it from its larger competitors for the assets of advisers: its advocacy efforts
Wells Fargo & Co.'s head of brokerage operations said banks may reduce the number of investment products offered to customers if regulators impose a fiduciary standard on brokers.
With the deadline approaching for the SEC to deliver a much-anticipated report about the regulation of financial advisers, the fight over establishing a universal standard of care is heating up
Registered representatives will operate under a fiduciary standard no earlier than the second half of 2012, according to Finra chief executive Richard Ketchum
The trustee liquidating Bernard L. Madoff's investment firm has filed more than $50 billion in so- called clawback suits to compensate victims of the con man's fraud since his 2008 arrest for masterminding the biggest Ponzi scheme in U.S. history.
NASAA president David Massey sits down with <i>InvestmentNews</i> reporter Liz Skinner and discusses the potential impact of Finra regulation over investment advisers, and also how state regulators will deploy "more intelligent regulation" as they take on the oversight of all investment advisers under $100 million. <a href=http://assets.investmentnews.com/Bruno/massey_final.mp3>(Click here to listen.)</a>
New York Life Insurance Co. has kicked off a program that will allow agents to meet the tougher fiduciary requirements set by the Labor Department
Recent recommendation only the 'first step' in longer process
Regulators are clamping down on municipal bond isssuers related to political contributions they or their employees have made in states where they have underwritten bonds
The Financial Industry Regulatory Authority's top executive said federal regulators are “very likely” to force U.S. brokers to meet stricter requirements for acting in the best interests of their clients.
The uniform standard of fiduciary duty called for by the Securities and Exchange Commission staff last week is likely to throw a wrench in the wirehouse business model
The Securities and Exchange Commission has charged a 77 year-old Amish financial adviser with defrauding his fellow Amish in an investment scheme that allegedly went on for 24 years.
