Agency to begin collecting data on municipal bonds from MSRB; has authority to nix tax break
Many investment advisers are busily preparing for the upcoming switch from SEC oversight to state regulation. But one compliance expert believes enforcement will drop off dramatically after the hand-off, and in some states, advisers won't even face examinations. | <b>Extra</b> <a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Site=CI&Date=20110923&Category=FREE&ArtNo=923009999&Ref=PH>The 10 states with the most CFPs</a> | <b>Comp</b> <a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Site=CI&Date=20110923&Category=FREE&ArtNo=923009998&Ref=PH>What top RIA execs make</a>
Survey shows 53% back the Buffett rule to narrow the deficit; are candidates listening?
Banks not likely to salute; fixed-income desks would take substantial hit
A new poll shows that financial services insiders overwhelmingly support the Buffett Rule, which would require the wealthy to pay at least the same tax rate as middle-class earners | <b>Extra</b> <a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Site=CI&Date=20110923&Category=FREE&ArtNo=923009997&Ref=PH>What advisers need to know about Bam's tax plan</a>
Commission alert about possible abuses linked to subdivided account arrangements
Finra claims two B-Ds established inflated schedules and rates on securities' transactions; brokerages neither admitted nor denied the charges
In a surprising twist, the influential Democrat has helped slow down efforts to expand fiduciary duty
Certain tax proposals President Barack Obama is seeking as part of his plan to help America “live within its means” would be especially damaging to a broad swath of financial advisory clients — and not just the superrich ones
Under-30 set say wealthy should put a higher tax rate than middle-income earners
More than 1,000 members of the National Association of Insurance and Financial Advisors lobbied members of Congress and their staffs to try to kill a Labor Department rule that would expand the definition of a fiduciary for those providing advice about retirement plans
Bachus bill could stall in upper chamber, but observers say Finra lobbying effort might help push it through
A federal judge agreed with a 28-year veteran agent that he was muscled out of his book of business by The Allstate Corp.
SRO's boss will tell Congress self-regulator 'uniquely positioned' to monitor investment advisers
Texas man raked in more than $3.45M from alleged scheme
Regulator aims to impose fiduciary standard, compensation limits in bid to eliminate conflicts of interest
A controversial California bill that would punish firms for misclassifying employees as independent contractors was amended last week, lightening the compliance burden for broker-dealers
Claim possible appointment of SRO to oversee advisers could end up costing investors; regulator insists it's 'natural organization to be part of the solution'
A pair of registered representatives with Planmember Securities Corp. in Texas face the loss of their securities licenses and fines of $100,000 each for the improper sale of life settlement notes.
