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Finra unveiled a list of proposals today to bolster rules governing alternative trading platforms like "dark pools," computerized high-speed trading and price transparency in the corporate bond...
A former financial advisor in Corpus Christi, Texas, was sentenced to 20 years for fraud and 10 years for theft in connection with a Ponzi scheme he orchestrated.
Congress officially killed the SEC’s request for 250 more financial advisor examiners Thursday night.
A controversial Finra plan requiring brokers to disclose signing bonuses is making a comeback, but it may be weaker.
A Tower Research Capital unit agreed to pay the record penalty to settle regulatory claims that it didn’t hold enough capital to support its high-frequency trading.
Morgan Stanley was fined $280,000 for ignoring “numerous red flags” in opening an account tied to a multimillion-dollar Ponzi scheme, a U.S. regulator said.
A Washington State financial advisor was sentenced for crimes that included stealing the annuity money of his clients to pay for a Las Vegas trip and a luxury car.
Some financial advisors do not mind sharing the returns they have pulled in for clients. Those numbers, nonetheless, may come with a caveat.
Two industry groups plus two regulatory organizations plan to develop a simple model for brokers to disclose their fees and make it easier for investors to compare them.
Congress is set to deny a request for the second straight year from the Securities and Exchange Commission for an increase of 250 investment advisor examiners.
Financial Advisor Blogs
Portfolio Manager Insights
An "endowment" spending approach may help retired clients preserve the value of their portfolios, says Jan Blakeley Holman, director of advisor education at Thornburg Investment Management. + Read more
"Business Adventures" by John Brooks is a collection of stories that shows there's still much to be learned from the way businesses conducted themselves 50 years ago. + Read more