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The number of investment advisors examined yearly is likely to stay in the 8 percent to 9 percent range, said the SEC.
Small firms won’t get a pass on cyber security rules, said the chief of the SEC's Investment Adviser/Investment Company Examination Program.
A former prominent, international law firm has been accused of doctoring its books over a period of years in an attempt to stave off bankruptcy, culminating in a phony $150 million private bond...
Finra's regulatory hires suggest it wants to watch over financial advisors, too, says a lobbyist.
A federal court order freezes the accounts of an investment firm luring investors on Twitter and Facebook.
An arbitrators group says Finra owns a database with critical information about brokers that it doesn't provide in BrokerCheck.
More stock fraud by big companies could be in store if a coming Supreme Court decision makes it harder for investors to file class action lawsuits, prominent Georgetown University Law Professor...
A former Merrill Lynch and Smith Barney broker, who is serving nearly three years in jail, is indicted on more fraud charges.
Public concerns about privacy have prompted Finra to scrap plans to collect the names, addresses and tax IDs of brokerage account holders to help with regulatory enforcement.
Financial Advisor Blogs
Portfolio Manager Insights
While it is hard to knock the advice of Warren Buffett, some of his tips can be tweaked. + Read more
Russia's power move in Ukraine is the slap and the so-called BRICs (Brazil, Russia, India and China) as an investment concept is the (now very much dead) belief. + Read more