James Shorris to return to the private sector after seven years with regulator; had said private placement crackdown was top priority
Susan Merrill wants back in the private sector. So, after six years at Finra, the regulator's head of enforcement is taking a job at law firm Bingham McCutchen
Industry observers think the Securities and Exchange Commission will have to backtrack on a proposal to increase the number of people regulated as municipal advisers
The worst may be over for municipal-bond funds
Investment adviser division aims to triple current assets under administration; targeting RIAs with $100M-plus in assets
As The Charles Schwab Corp. officially begins promoting its new Independent Branch Services franchise program, observers wonder how the firm will pull off the ambitious plan to expand its footprint with independent contractors
Breaking away can be a daunting proposition. Here's what to do — and not to do.
The Municipal Securities Rulemaking Board has yanked all six of its proposed rules covering municipal advisers today, triggered by worries about the Securities and Exchange Commission's proposed definition of a municipal adviser.
Only 37% of advisers are now bullish on the stock market, compared with 56% last January, according to a survey Schwab Advisor Services. Cash, fixed income, gold and foreign currencies are the only four asset classes in which advisers are likely to invest more.
