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SEC Said To Weigh Shining Light On Broker Role In Routing Stocks

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The SEC is weighing a requirement that brokers tell investors exactly where their stock trades go to be executed.

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Merrill Lynch Advisors Learn ABCs Of ESG

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If you still wonder whether it's worth talking to clients about values-based investing, consider what Merrill Lynch is doing.

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Brokerage Firms Say Bonus Disclosure Plan Ignores Costs

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The brokerage industry is warning that lack of a cost-benefit analysis could doom Finra’s plan to require disclosure of broker-recruitment bonuses.

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REVIEW: Flash Boys Offers A Seditious Conclusion

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The book describes the problems with high frequency trading, but does it provide the right answer?

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How A 56-Year-Old Engineer’s $45,000 Loss Spurred SEC Probe

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The civil engineer's loss on a Credit Suisse exchange-traded note (ETN) shows why banks are being pressured by the SEC to beef up disclosures on the products.

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Ex-BP Worker Settles SEC Insider Trading Claims On Spill

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A former official of BP Plc will pay $224,000 to settle U.S. claims that he traded securities based on inside information about the magnitude of the Deepwater Horizon oil spill, the SEC said.

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U.S. Said To Warn Money Managers of More Russia Sanctions

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Officials from the Treasury Department and the National Security Council met in Washington with mutual-fund and hedge-fund managers, according to a person who attended.

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Most Parents Plan To Use Income To Pay For College, Study Says

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Seventy-seven percent of parents expect to partially or fully fund their children’s education and will depend on current income or savings to do so, according to HSBC.

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Securities America Recruits $100 Million Team

by FA Staff

Fortress Wealth Advisors has joined the firm from Manarin Investment Counsel.

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Rapid LTC Insurance Rate Increases May Halt, Says Trade Group

by FA Staff

Circumstances and calculations have changed so that LTC policies sold now may not experience the same rate increases.

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