TD Ameritrade Institutional on Tuesday rolled out what the firm says is an expanded set of services to help its advisers offer unbundled retirement plan solutions.
But getting out from under PCAOB-approved accountancies will have to wait
U.S. Capital Advisors LLC has picked up a $600 million team from UBS Financial Services Inc. — the <a href= http://www.investmentnews.com/article/20101017/REG/310179981> second high-producing team the firm has picked up from UBS</a> in the last six weeks.
So-called placement agents and others who solicit business from municipalities and public pension fund must register with the Securities and Exchange Commission as "municipal advisors."
After last week's media frenzy, it is hard to blame investors for not coming down with a case of gold fever.
They aren't cheap, but publicly traded real estate investment trusts could be just the right property for yield-thirsty investors.
Faced with withering criticism about pay levels, the Financial Industry Regulatory Authority Inc. last year paid no bonuses to its top executives.
Corporate-governance experts believe that seven proposals designed to make Finra disclose more information and give members a say on executive compensation may never be implemented.
Broker-dealers who last week overwhelmingly approved a set of proxy proposals designed to make Finra more transparent now want to see the regulator take action.
An additional 4,200 investment advisory firms regulated by the Securities and Exchange Commission will fall under the purview of state regulators if the Senate passes the financial-reform bill.
