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An SEC official told annuities industry professionals that their communications with consumers needs to improve because the investments have become more complex.
A former associate of a financial advisor who committed suicide while under investigation has been sentenced to more than four years in prison for running his own Ponzi scheme, the U.S...
A top Finra official resigned after the agency was informed he was indicted for felony theft and charitable bingo fraud in 1993, the year he joined the agency.
Proposed money market mutual fund rules by the SEC look good and should be the subject of House hearings starting in July, according to Rep. Scott Garrett (R-N.J.).
An overwhelming majority of doctors and nurses feel financial fraud is a very or somewhat serious problem for the elderly, according to a new survey.
Wells Fargo and Banc of America Investment Services have been ordered to pay more than $3 million in restitution by Finra for selling unsuitable floating bank loan funds.
McGraw Hill Financial Inc...
Financial advisor clients could benefit from better money-market fund disclosure, diversification and stress testing in proposed SEC rules.
With the death of Senator Frank Lautenberg, Senator Tom Udall is expected to become the chairman of an important Senate subcommittee that oversees budgeting for the SEC and the CFTC.
The SEC suspended trading in 61 empty shell companies Monday, the second largest group of companies to be affected by a suspension order in one day in the agency’s history, the SEC announced.
Financial Advisor Blogs
Portfolio Manager Insights
Nearly half of all advisors are using some sort of tactical investment strategy as an alternative to the traditional 60/40 buy-and-hold approach. + Read more
With the risk of rising inflation threatening to erode real purchasing power and no opportunity for meaningful returns on fixed income securities, the opportunity for return on cash would seem to lie solely with riskier assets, like public equities. + Read more