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Washington
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Seeking a More Livable Volcker Rule
May 1, 2012The brokerage industry wants simpler language and other modifications.
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Naked Short Selling Case Ensnares Ex-OptionsXpress CFO, Customer
April 16, 2012The SEC charged four executives of what is now a Charles Schwab Corp. subsidiary as well as one customer with selling billions of dollars worth of securities they could not deliver.
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Ameriprise Didn’t Charge Excessive Advisor Fees: 8th Circuit
April 16, 2012After a long, winding legal road, involving no fewer than six federal court decisions, Ameriprise Financial finally won a suit alleging that it had charged excessively high advisor fees.
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Bernanke: Financial Crisis Was a Structural Failure
April 16, 2012The 2008-2009 financial crisis that rocked worldwide markets was amplified by the lack of a sufficient regulatory framework, including checks on the largest broker-dealer firms, Federal Reserve Board Chairman Ben Bernanke said Friday.
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U.S. Needs to Move to Global Reporting System
April 1, 2012Investors are going to demand adherence to international financial standards.
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7 Advisors' Best Investment Ideas For This Election Year
March 2, 2012Here’s an interactive slide show detailing the best investment ideas for this election year from seven financial advisors practicing throughout the country.
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FATCA Exempts Local Secrecy Laws
March 1, 2012U.S. officials see Foreign Account Tax Compliance Act as a significant undertaking for financial institutions.
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Justice Department Clears Way for Raymond James Acquisition of Morgan Keegan
February 28, 2012Raymond James clears one hurdle in getting early termination of the waiting period in connection with the $930 million purchase of Morgan Keegan
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Firestorm Over FINRA's Query on Expanding, Sharing BrokerCheck Info
February 24, 2012FINRA is seeking input regarding changes it is weighing with respect to BrokerCheck. The proposed changes prompted a swift and strong response from readers on Financial Planning’s discussion boards.
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FSI Says It Helps Get Stretch IRA Tax Rule Dropped From Federal Highway Bill
February 22, 2012“With our economy in the shape it’s in, and saving for retirement more difficult than ever, it was critical that this troubling provision be stripped from the bill,” according to a statement from FSI President and CEO Dale Brown.
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House Panel Narrowly Passes SEC Accountability Act
February 17, 2012The SEC could be hunkered down conducting cost-benefit analyses on each new rule-making it undertakes, including the scores coming out of the Dodd-Frank Wall Street Reform Act.
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10 Global Investment Predictions For Advisors, Investors
February 17, 2012Here are 10 global investment predictions for 2012 that advisors and their clients should be monitoring through the rest of the year.
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Muni Bond Groups Urge Congress to Nix Obama Cap
February 16, 2012Seventeen muni groups are urging members of Congress to reject President Obama's proposal to place a 28% cap on the value of tax-exempt interest, warning it will hurt the market and that its retroactivity will reverse nearly 100 years of legislative history.
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