Tardy RIA state filers will be subject to 'deregistration' by the SEC. But it looks like scores of mid-sized firms are going to miss the deadline
Respondents willing to pay user fee to commission to avoid SRO oversight
America lost 129,000 millionaires last year while China gained 16%, India 21%
Even the Yankees, Sawx rivalry carries over to owners' prexy picks
High fees, lower returns and flagging growth have taken toll on advisers' alternatives enthisiasm: Morningstar
Kenneth Starr, the Ponzi scam artist whose clients included top Hollywood celebrities, pleaded guilty today in Manhattan federal court to one count each of wire fraud, money laundering and investment adviser fraud.
A bit of advice to SEC Chairman Mary Schapiro, who has made it abundantly clear that she intends to make further changes to regulations governing money market funds: Quit while you are ahead.
Waters' legislation aims to retain SEC examinations of investment advisers; all registered firms would be assessed a charge
CPAs say uncertainty impedes proper estate planning, places undue burden on taxpayers
