<i>The following is an edited transcript of the webcast “<a href=http://www.investmentnews.com/apps/pbcs.dll/dcce?Site=CI&Date=20101026&Module=18&Kategori=webcasts&Class=18&Type=ACTIVE_WEBCAST&ID=2502244&Selected=4>Making the Switch to State RIA Regulation</a>,” held Oct. 26 in New York. It was moderated by news editor Bruce Kelly and reporter Mark Schoeff Jr.
Marovitz allegedly relied on inside info when trading shares in his own brokerage accounts; said to have lost 'substantial sums of money'
JPMorgan Chase & Co., Bernard Madoff's “primary banker,” was sued for $6.4 billion by the trustee liquidating the imprisoned con man's former firm.
Investors are still miffed with the securities industry for the havoc that resulted from the credit crisis. Financial advisers are somehow escaping that wrath.
The Securities and Exchange Commission will have to forge ahead with the dozens of studies and regulations called for in the Dodd-Frank financial reform law without any extra funding until at least early March.
Judge rules in favor of only fund firm that refused to settle class action; 'last man standing'
A nationwide law enforcement crackdown targeting financial fraud has led to cases against 343 criminal defendants involving $8.3 billion in estimated losses, Attorney General Eric Holder announced Monday.
These are the following remarks delivered by Securities and Exchange Commission Chairman Mary L. Schapiro as part of the Brodsky Family Fund Lecture Series at Northwestern University School of Law on Nov. 9
President Barack Obama and congressional Republicans kick-started negotiations today at the White House over a possible extension of Bush-era tax cuts that are set to expire Dec. 31.
An Omaha businessman convicted of bilking elderly investors out of millions of dollars wants the Nebraska Supreme Court to reinstate his lawsuit against his business attorney.
The SEC should move with haste to revamp 12(b)-1 fees
The U.S. Labor Department sued four investment firms for allegedly failing to examine swindler Bernard Madoff's business practices before entrusting him with hundreds of millions of dollars in pension funds.
The U.S. Securities and Exchange Commission sued Trivium Capital Management LLC and an executive of Polycom Inc. in a case stemming from the government's Galleon Group LLC insider-trading investigation.
Congress won't act directly on the recommendations of a presidential deficit commission, but elements of its plan — including the elimination of tax breaks and deferrals for retirement, life insurance and employer-sponsored health care plans — may become part of legislation in coming months.
SEC staff attorneys have been required to show proof that they are active members in good standing with at least one state bar association.
Diamondback Capital Management LLC, one of three hedge funds raided by the FBI last week, said it received a federal grand jury subpoena and is cooperating in a U.S. probe that it said includes research consultants.
The House of Representatives approved on Thursday a bill that would permanently extend Bush administration tax cuts for the middle class but allow rates for wealthier taxpayers to increase.
Elizabeth Warren says that a new consumer protection agency must go big or go home.
President Barack Obama told newly elected state governors that he's “optimistic” the administration will reach a deal on tax cuts with congressional Democrats and Republicans before the end of the year.
Congress won't act directly on a proposal approved by a presidential deficit commission this week, but elements of the plan could become part of legislative proposals in coming months to address huge fiscal imbalances.
