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Rick Ketchum, the Financial Industry Regulatory Authority, chairman, wants states to allow advisors to delay transactions by elderly clients they suspect are scam victims.
Housing discrimination still erodes confidence in the LGBT community, a new survey says.
More Americans are acknowledging the need to have a rainy day fund, but say they lack adequate savings to weather a financial emergency, according to a study.
William Quigley, who worked as an anti-money-laundering officer and the chief compliance officer at Trident Partners Ltd., was charged with wire fraud and money laundering.
Lehman Brothers Holdings Inc. had 27,000 risk managers -- the firm’s stockholding employees -- before it collapsed in 2008, former Chief Executive Officer Richard Fuld said.
Taxes play a significant role in a client’s investment decisions and in after-tax investment returns, and it is important to understand how all the income taxes work together.
A major problem with alternative investments is that there is a knowledge gap between the people developing them and the people selling them, says SEC exec.
Capital flows to emerging economies are projected to fall to $981 billion this year, their lowest level since 2009, says the Institute of International Finance.
U.S. corporate pension funds turned less solvent in 2014, approaching risky levels based on regulations, as their liabilities ballooned by more than $180 billion, UBS says.
Consumers are the main reason U.S. economic growth has been stuck at 2 percent, said MFS economist Erik Weisman.
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