Incoming Senate finance chairman Orrin Hatch says retirement vehicles are the 'greatest wealth creator' for the middle class, and shouldn't be part of tax reform.
Plaintiff's attorneys say lack of diversity among panelists means disadvantage for investors.
Bill would help insurance agents more efficiently get licensed to practice in multiple states.
The budget increase the SEC received from Congress is “insufficient” to significantly boost investment-adviser examinations, according to an SEC official charged with representing retail investors.
In examining broker-dealers this year, Finra will zero in on the sale of sophisticated investment products that can be whipsawed by interest rate fluctuations. What do you need to know to protect your practice?
Firm continues independent broker-dealer buying spree in $24M deal.
The SEC cracks down on financial firms, including Schwab, J.P. Morgan Securities, Lebenthal, Oppenheimer, TD Ameritrade, UBS and Wedbush for selling risky debt beneath the minimum allotment of $100,000 for a single transaction.
With no replacement named, it is unclear what Michael Shaw's departure will mean for board strategy.
Financial Planning Association officials say they, in fact, stand up to CFP Board, and that both organizations serve different missions.
Shifting oversight of more RIAs from the SEC to states would increase exam coverage at less cost than establishing third-party reviewers, according to a new report. <i>(See also: <a href="//www.investmentnews.com/article/20131030/FREE/131039989"" target=""_blank"" rel="noopener noreferrer">After 'the switch' in 2012, state regulators pounced</a>)</i>
