Two Republican lawmakers say the SEC's investor-protection measures for private placement ads limit free speech. The response from one state securities cop? "Absurd!"
A federal judge has ruled that Merrill Lynch can't force a group of brokers suing the firm over overtime into arbitration. The case has big implications for the Finra-Schwab class action case.
New York state has accused the brokerage giant of falsely describing auction-rate securities as liquid investments without disclosing the risks
The former Senator and Governor is optimistic that Washington can cut a deal
Labor Department's hiatus to delay investigations, enforcement actions
Finra's spending on Capitol Hill lobbying hits $450,000 so far in 2013, down from 2012. Despite the decline, the regulator's lobbying still towers over that of investment adviser groups.
Investment Adviser Association, TD, Schwab hit Capitol Hill armed with odd message
Citigroup Global gets hit with a $3.1 million arbitration award after investors claimed a former Smith Barney broker steered them to a real estate development that folded. Bruce Kelly reports.
Leftover funding from the fiscal year that just ended will keep the SEC running at 100% for a few weeks despite the government shutdown.
“I think Bernanke and company are committed to a taper,” Pimco co-founder says.
Broker regulator uses Twitter, digital video to release board decision.
Complaint says firm may have unwittingly profited from the trades.
Massachusetts' securities chief Galvin begs to differ
But industry champing at the bit to hawk their wares in the media
The group of employees who have charged Fidelity with forcing them into costly proprietary funds in their profit-sharing plan just got a little bigger. That's a big deal.
Advisers should revisit estate-planning techniques now that the Treasury Department and the IRS recognize same-sex marriages for federal tax purposes. How will this impact your clients?
