Registered representatives should be careful about mixing personal use of social-networking sites with business use, a Finra executive said today.
A federal judge yesterday declined to unseal a March 2007 IRS opinion letter that laid out guidelines for the payment the NASD made to member firms following the 2007 merger with the NYSE.
The government is manipulating the Consumer Price Index in an attempt to keep inflation low and save money, and that has major implications for retirees and some investors, several statisticians who analyze government data say.
A good-government group is asking Congress to rethink the concept of self-regulation.
The latest S&P/Case-Shiller Home Price Index, released today, shows a mixed picture: Some metro markets are improving, others are still searching for a bottom, and prices are down an average 0.2% in November across 20 metropolitan markets.
In another sign that the commercial property market may have bottomed out, the Moody's/REAL Commercial Property Price Index showed a 1% gain in November.
A bill introduced yesterday in the California Legislature would require money manager placement agents to register as lobbyists and regulate their compensation.
Robert Errico, head of member regulation at the Financial Industry Regulatory Authority Inc., will be leaving the organization at the end of March.
President Barack Obama has proposed another spending increase for the Securities and Exchange Commission.
Recruiters at competing firms are likely to reach out to bank brokers at Bank of America Investment Services Inc., according to industry observers.
