FINRA may have found a way to placate critics who bellow a broker-dealer dominated organization shouldn't become the SRO for investment advisers. A source in ...
The political jockeying over the investment advisers' fiduciary and broker-dealers' suitability standards bubbled up last week with a letter from Fund Democracy and the Consumer ...
Reforming money market fund regulations sits high on the list of accomplishments sought this year by the SEC's Division of Investment Management and this could ...
In a story last week (IA Week, April 13, 2009) entitled "grade these ideas for annual review test from your peers," James Jones, CCO/director of ...
The battering felt of late could lead one to imagine an investment advisory industry in shambles. Au contraire. Data from various sources pieced together by ...
When Isaac Ovid started his investment business, including RIA Jadis Investments, the ordained minister turned to his church, where his father, the pastor, offered a ...
You've heard the talk - government needs to bring together the regulatory regimes of investment advisers and broker-dealers. But the term of the day, "harmonization," ...
You'll find scores of questions the SEC has for the industry in its proposed short selling rule. The questions show the agency wishes to be ...
We've already alerted you that if any of your customers live in Massachusetts you have until next January to contractually require third-parties that handle certain ...
More than 60 brokers who worked for the Stanford Group Company– which included RIA Stanford Capital Management– are being sued by the receiver in the ...