The New Year kicked off with the first of several congressional hearings that many predict will end with major new regulatory changes affecting investment advisers ...
Some New Year's resolutions are aimed at shedding a few pounds, visiting Europe for the first time or tackling a home project. In case you're ...
The SEC provided a holiday gift to the industry when it approved LCH.Clearnet Ltd. as a central counterparty for credit default swaps. The Commission blessed ...
Wayne Cassaday's investment advisory business grew rapidly, topping $30 million AUM within three years. The president and CCO of Battery Wealth Management in Mount Pleasant, ...
Within days of a settlement in a civil court case against Citigroup Global Markets Inc., the registered adviser at the center of the auction-rate securities ...
The controversial fair value accounting standard known as FAS #157 didn't have a broad impact in the recent failure of U.S. banks and the standard ...
Should that summer intern fall under the strictures of your firm's personal trading rules? How about those temporary workers or consultants? You decide, as most ...
Few changes suggested to SEC's money-market ruleThe SEC's temporary rule aligning the Investment Company Act with the Treasury Department's money-market guaranty program generated only a ...
A 61-year-old retiree who "lost virtually her entire life savings" to Bernard Madoff's advisory business has announced plans to sue the SEC for failing to ...
The SEC voted 4-1 last month to classify equity-indexed annuities as securities, a move strongly opposed by the insurance industry because insurance agents will be ...