In their biennial tracking of the compliance violations of small investment advisers, state regulators have found a slight uptick in deficiencies per adviser, with about 45% of advisers found to have at least one books-and-records violation
Bank settles allegations that its B-D sold pool of mortgages to clients — then bet against them
Rep. Spencer Bachus, an Alabama Republican and chairman of the House Finance Committee, is floating legislation that would establish one or more self regulatory organizations to oversee investment advisers; the fiduciary standard hits a snag; and the SEC takes a look at sub-accounts.
Rich Lowrie serves as economic adviser to Herman Cain
The latest scrum over how to boost oversight of financial advisers suggests that independent advisers may have to accept an entirely new self-regulator if they want to avoid coming under Finra's jurisdiction
Group touting the virtues of pre-paid tuition program that locks in rates at non-state schools
Parents who use Section 529 college savings plans are steadily outpacing those who don't use the tax-advantaged investments, according to a new survey by the College Savings Foundation
Advisory firms are in a hiring mode, and that means financial advisers are very much in demand.
Financial advisers are recommending a mix of tools to fund college tuition, the most popular of which are Section 529 college savings plans and trust accounts, according to a new survey.
