Regulator emphasizes need for investors to clearly understand products' risks as they search for higher yields.
Eric Cantor's demise will increase partisan tension in Washington; for investment advisers, whose issues are usually ignored by lawmakers who don't understand their industry, it makes pushing their agenda even more difficult.
Investors now have a 'long overdue' online tool to find and compare prices of municipal bonds, bringing clarity to an often opaque market.
The guidance would give the five-member commission a foundation for determining whether to advance a proposal to raise investment-advice standards for brokers.
NASAA's Rick A. Fleming says he's the man for the job, to flag retail investor concerns.
In effort to boost next gen ranks, industry also needs to dispel 'Wolf of Wall St.' perception, Fidelity study finds.
In a new comment letter, the industry group contends that the rule would create undue regulatory costs.
Agency chief says greater transparency would promote price competition, improve market efficiency and facilitate best execution.
Finra trimmed its operating loss last year, helped by a modest increase in revenue, but compensation and benefit costs continued to eat up a chunk of the SRO's funds. After eking out a slight net income gain, Finra set a rebate to member firms.
Afraid of another Madoff scandal, SEC commissioner Daniel Gallagher says RIAs should be forced to hire outside examiners. <i><a href="http://www.investmentnews.com/article/20140519/FREE/140519914">Plus: More from Finra's annual conference</a></i>
