Tackles broker communications with the public as well as gifts, gratuities and non-cash payments; will look at other regulations.
Inland American offers shareholders a way to cash out, but place limits on the buyback and values shares at no more than $6.50 a share.
Regulator is 'playing the long game,' sees advisers as regulatory and revenue opportunity, IAA's Neil Simon says.
Without the additional $324 million it requested, the SEC won't be able to hire additional personnel to expand RIA examinations. What does this mean for advisers?
Seven lobby groups representing investment advisers and consumers are urging lawmakers to sign on to legislation that would charge advisers a user fee to fund more regulatory exams.
Hedge fund manager Steven A. Cohen's SAC Capital Advisors won partial approval of its $1.8 billion settlement with the U.S. as a federal judge signed off on an agreement to resolve a civil money-laundering case.
<i>Breakfast with Benjamin:</i> Backing off the big bounce. Plus: Bill Gross confesses, Bank of America pays for cheesy marketing tactics, investing in wind energy and an urgent reminder to change those passwords
<i>Friday's menu:</i> Where investors go when BRICs crack. Plus: How advisers can &mdash; and should &mdash; deal with male and female clients, mounting sanctions drive Russia toward China for economic help, investor class-action lawsuits spike, and saving money on travel.
Three clients of former broker at Hancock unit receive award for losses in failed land deals.
The woes stemming from UBS AG's unit in Puerto Rico over the sale of local, closed-end municipal bond funds have landed squarely in the lap of UBS brokers and financial advisers in the island commonwealth.
A former Wells Fargo trainee has sued the firm, claiming that its effort to get back $50K in training costs violates labor law. If the claim sticks, brokers could have a tough time recouping such costs from ex-employees who leave firms early.
A court decision sheds new light on issue of whether float income is a plan asset.
Advisers urge clients to think carefully before reacting to Gov. Cuomo's latest proposal
The Securities and Exchange Commission is investigating whether currency traders at the world's biggest banks distorted prices for options and exchange- traded funds by rigging benchmark foreign-exchange rates, according to two people with knowledge of the matter.
Brokerage firms that pursue reimbursement of training costs from employees who leave are out of step with today's workforce
Justices seek DOL comment on case involving share classes offered to plan participants.
They say the costs and loss of privacy outweigh its benefits.
CARDS would pose risks and challenges to its members, broker-dealer group contends.
Rule proposal would touch on active vs. index funds, transparency, flexibility and inverse leverage
