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Citi, Merrill among firms settling over diversion of muni bond proceeds
INVESTING FIXED INCOME JAN 02, 2013
Citi, Merrill among firms settling over diversion of muni bond proceeds

Five shops agree to $3.35 million Finra fines, $1.13 million in restitution.

SEC extends 'temporary' trading rule for another two years
NEWS REGULATION AND LEGISLATION DEC 28, 2012
SEC extends 'temporary' trading rule for another two years

Brokers allowed to trade as principals in certain accounts.

NEWS INDUSTRY NEWS DEC 28, 2012
Independents to launch consumer education push

Platinum Wealth Partners plans 2013 as breakout
NEWS BROKER DEALERS DEC 26, 2012
Platinum Wealth Partners plans 2013 as breakout

Richard Bernstein on bull run: It's 1982 all over again
INVESTING EQUITIES DEC 19, 2012
Richard Bernstein on bull run: It's 1982 all over again

Famed strategist says U.S. stocks will keep on keeping on; emerging markets passé

INVESTING EQUITIES DEC 16, 2012
Bernstein: A bull run to rival 82

Forget the 'new normal.' Investment strategist Richard Bernstein sees a long bull run for U.S. stocks.

NEWS REGULATION AND LEGISLATION DEC 16, 2012
Finra dials it back on suitability rule

Fed spikes volatility in bonds
INVESTING FIXED INCOME DEC 13, 2012
Fed spikes volatility in bonds

Linking monetary policy to unemployment, inflation drive big fluctuations.

Stars aligning against munis at year-end
INVESTING FIXED INCOME DEC 11, 2012
Stars aligning against munis at year-end

Tax talk, new issues, profit-taking spark sell off, roil the market.

Brits consider recruitment code like U.S. version
NEWS RIAS DEC 11, 2012
Brits consider recruitment code like U.S. version

U.S. protocol credited with reducing litigation from adviser hiring