Like baseball fans whose team came up short, those hoping for an overhaul of the tax code by the congressional deficit-cutting supercommittee likely will have to wait until next year
The recent fining of three advisory firms by the SEC is only the tip of the iceboard, according to an ex-Commission official. How tough will the crackdown be? Says the lawyer: 'The world is about to change for investment advisers.'
The Occupy Wall Street protest movement, which has filled streets and parks in New York, Los Angeles, Hong Kong and other cities for weeks, may soon show up in the halls of power, too
DOL's Borzi says agency looking at third-party payments; not backing off fiduciary update, either
A fervent outcry from a wide range of financial industry groups and bipartisan lawmakers helped persuade the Labor Department to withdraw a proposed rule to expand the definition of “fiduciary” for advisers to retirement plans
A fervent outcry from a wide range of financial industry groups and bipartisan lawmakers helped persuade the Labor Department to withdraw a proposed rule that would expand the definition of fiduciary for advisers to retirement plans.
NASAA worried that legislation could put investors at risk
NASAA says current legislation could put investors at risk for fraud; GOP, Dems, White House all back the bill
Transaction tax would take 0.03% bite out of stock, bond trades
