Program guarantees members coverage at a group rate FSI has secured as the plan sponsor.
<i>Breakfast with Benjamin:</i> Remember housing stocks? You should. Plus: How Pimco stepped in it, academics take on high-frequency trading, the bad math behind climate-change regs, and men are better retirement savers than women.
Midweek <i>Breakfast with Benjamin:</i> Yellen warned us. Plus: SEC probes Pimco ETF over asset pricing, America's 401(k)s are failing investors, and how Obama's attack on corporate inversions flunks basic math.
NASAA forms committee to tackle elder financial abuse and growing complexity of financial products.
One of those arrested, Abraxas 'A.J.” Discala, was married to Jamie-Lynn Sigler
Cybersecurity is the hottest topic in compliance, according to a survey of compliance professionals. Other areas of interest include social media, valuation and allocation of fees and expenses
Agency's Investor Advisory Committee thinks current standard of income, wealth oversimplifies who should qualify to buy private offerings.
<i>Breakfast with Benjamin</i>: A real risk thanks to the bull market: investors' sense of invincibility, plus El-Erian dishes on Pimco, second-guessing Calpers, and more.
Advisers and others in investment industry disagree about how or whether the accredited investor standard should be changed
Judy Wolf, formerly with Wells Fargo, allegedly attempted to make it appear she adequately reviewed a broker later charged with insider trading. <b><i>Plus, see <a href="http://www.investmentnews.com/gallery/20140507/FREE/507009999/PH/5-big-compliance-lessons-from-recent-sec-cases" target="_blank">5 compliance lessons from recent SEC cases</a></b></i>
Firm settles charges that compliance oversight was weak after 2008 acquisition of advisory unit.
Former intern claims she was offered Christian Louboutin shoes in exchange for sex; adviser and firm say she welcomed advances.
Friday's <i>Breakfast with Benjamin</i> features: Bill Gross is selling bonds. Should you? Plus: Finra might go inside to replace Fienberg; the markets' muted reaction to Obama; pump and dump; more money flows to hedge funds; and Cantor's way of commemorating 9/11.
Enforcement actions by NASAA members resulted in one-third-longer sentences last year over 2012.
NASAA working group not going to draw conclusions about whether fees are too high, just how to make them more transparent.
Fat commissions could be trimmed if states approve regulations affecting the sale of nontraded real estate investment trusts.
Mark Goldberg of IPA praises regulator's action to extend clarity to investor statements.
<i>Breakfast with Benjamin:</i> The Bond King levers up. Plus: There is nothing smooth about the Fed's next move, the first nail in hedge funds' coffin and more.
The Federal Reserve decides to hold tight on interest rates, and advisers are reacting accordingly.
