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A University of Florida finance professor has been named director of the SEC unit in charge of evaluating the costs and benefits of proposed rules.
A U.S. appeals court ruled that victims of financier Allen Stanford's Ponzi scheme were not eligible to file claims seeking compensation.
The owner of a Seattle advisory firm will pay $590,000 to settle charges by the SEC that he used client funds to pay for a ski house and vintage car.
Senators criticized the federal government and Western Union for what they described as their poor response to the growing problem of grandparent phone scams.
The SEC will likely focus on sales of expensive mutual funds and have a "laser like focus" on problem brokers and firms in 2015, an agency official said.
The Republican-controlled House passed a budget Wednesday that bars the SEC from imposing a fiduciary standard on broker-dealers during the federal fiscal year beginning October 1.
SEC Chairman Mary Jo White was attacked for slow and weak investor protection rulemaking by several consumer advocates in e-mails and conversations with Financial Advisor magazine.
A Florida man was charged with soliciting investors for a Ponzi scheme masterminded by Scott W. Rothstein, a U.S. Attorney said.
Under pressure from the SEC, Finra has amended its controversial non-traded REIT pricing proposal.
Clients who weigh environmental issues into their investment choices can now inspect an online depository for corporate climate-change filings.
Financial Advisor Blogs
Portfolio Manager Insights
Here are four steps that advisors can take to help clients avoid letting their feelings drive or alter their plans in retirement, says columnist Robert Laura. + Read more
Thomas Piketty's book is one of the most controversial this year -- and believe it or not, he actually gives a plug to financial advisors in it, says our book reviewer. + Read more