Kenneth Bentsen named acting president and chief executive
A former MSSB manager has won a $1M Finra panel award. The dust-up? The exec claims the wirehouse forced him to resign.
The fiscal-cliff denoument was not pretty. But it may have laid the foundation for broader tax reform in 2013.
In a move sure to cheer B-Ds — and their attorneys — Finra backtracks from an earlier, stricter interpretation of what reps can say to non-clients.
Urge Commission to speed up regulation that will ease regs on Reg D offerings.
In an <i>InvestmentNews</i> poll, advisers slammed President Obama's handling of the budget agreement. The big complaint: The White House dithered on cutting government spending.
House speaker takes big political risk mustering enough cliff votes; market surges
The Senate passed a bipartisan budget deal two hours after income tax cuts expired, reaching an after-deadline agreement to undo the potential economic harm of $600 billion in tax increases and spending cuts.
Advisers taking Washington's inaction in stride.
The Senate worked all weekend on proposals to avert the so-called fiscal cliff only to come closer than ever to the precipice by Sunday night. The mad dash to the edge undermines what is known as "regular order," or the Schoolhouse-Rock image of Congress.
Republican McConnell senses lack of urgency; Reid says to 'hang loose'.
If John Boehner makes small concessions to seal a last-minute deal with Democrats, it could cement his political legacy. It could also cost him his job as House speaker.
Brokers allowed to trade as principals in certain accounts.
Agency wants funds using commodities to register with it.
Rep. Frank's parting gift won't assuage Senate, Ag Committees' doubts
Federal court rules in favor of agent who maintained sites critical of insurer, but who will get paid?
Some expect a fiscal deal only after new Congress comes to town.
