The brokerage industry is hoping to head off a Finra proposal that would have the regulator capture and retain a huge amount of client account data for compliance purposes.
Many top hedge fund managers aren’t well-known outside the industry and want to create a "brand that outlives them,” says Jon Sundt, CEO of Altegris Advisors.
Banks and trust officers could get tripped up over several pending regulatory developments as Dodd-Frank Act rule-making winds down, Phoebe Papageorgiou, senior counsel of the American Bankers...
Advisors might be sorely disappointed with tactical investment managers who use valuation measures to reduce or increase equity exposure, according to asset-allocation guru Roger Gibson.
Nick Schorsch and his management team at American Realty Capital Properties Inc. did some crowing Monday while highlighting the REIT’s completed purchase of Cole Real Estate Investments.
A federal judge has given the go-ahead to Florida planners Jeff and Kim Camarda to obtain documents and testimony from CFP Board officials in their legal challenge against the board.
