Investors watch the Fed as its last meeting of the year begins. Also in today's Breakfast with Benjamin: Stocks to buy when the Fed tapers, gold investors seek the bottom, IPOs gone wild, and a Deutsche Bank shopping guide.
Labor Dept. seeks ruling on Fifth Third Bancorp case that could ease challenges to employers.
Plus: Looking for weakness in the Volcker rule, the case for stocks in 2014, the upside of market bubbles, and what the heck Elizabeth Warren is up to now?
Supreme Court review could lead to more stock-drop cases.
A recent lawsuit against MassMutual over excessive 401(k) fees raises the possibility that group annuities and stable-value products could become a focus of future complaints.
Fewer than 700 actions taken but agency collected a record $3.4 billion.
Finra is considering raising the fees related to pursuing an arbitration claim against a brokerage firm in order to increase the pay for people who hear the cases.
Employees alleged the paper distributor breached its fiduciary duty.
Regulator working on dual tracks but specifics and timing remain uncertain
That change would increase the cost of arbitration for firms and retail investors, some industry watchers warned. But Finra describes the increases as necessary.
The Investor Advisory Committee gives the SEC two options for a uniform standard for advisers and brokers.
In the wake of fraud allegations over alternative investments, Bruce Kelly warns that advisers need to do their due diligence when choosing an alt. <b>More:</b> <a href="http://www.investmentnews.com/article/20130811/REG/308119973">Investors defrauded by real estate guru: Finra</a>
Former Sen. Christopher J. Dodd and ex-Rep. Barney Frank defend sweeping regulatory reform.
Friday's breakfast is served: Big banks feel the heat from religious investor groups; Deutsche Bank settles with Finra; the housing recovery's recovery and Jamie Dimon's wacky holiday card
Breakfast with Benjamin: The Dow is getting dicey at these heights. Plus: Lawyers get rich on Madoff's mess, Volcker rule cuts prop trading, retirement back-up plans, and rich folks are spending less this holiday season.
Effort to thwart Dodd-Frank provision has prompted White House veto threat.
In a session Tuesday at the Securities Industry and Financial Markets Association's annual conference in New York, Mary Jo White reiterated that the SEC examines annually just 8% of its nearly 11,000 registered investment advisers.
Seek redefinition of 'retail,' exclusion of tax-exempt funds.
Oppenheimer Holdings Inc. head municipal bond trader David Sirianni was fined $100,000 and suspended for 60 days by the Financial Industry Regulatory Authority Inc. for overcharging customers.
