Practice

In the sharply contested fight over how to avoid the automatic tax increases and spending cuts that became known as the fiscal cliff, President Obama emerged as the "clear political winner," according to a new study by the Pew Research Center for People and the Press.

Newly appointed Securities and Exchange Commission Chairman Elisse Walter this week unveiled the agency’s General Counsel in the form of Geoffre Aronow, who will begin his new role later this month.

JPMorgan Chase named Tim Ryan its Global Head of Regulatory Strategy and Policy. SIFMA names Kenneth Bentsen its acting chief, starting Feb. 23, and will search for a permanent successor.

The Financial Industry Regulatory Authority assessed financial firms and individuals $68 million in fines in 2012 and ordered them to pay a record $34 million in restitution to investors, the regulator announced Tuesday.

The U.S. Supreme Court signaled it may tighten the time limits that apply when the Securities and Exchange Commission and other government agencies seek to impose fines on people and companies accused of fraud.

Newly appointed Securities and Exchange Commission Chairman Elisse Walter this week unveiled the agency’s General Counsel in the form of Geoffre Aronow, who will begin his new role later this month.

Most advisors say referrals are the key to growth. So why do so many fail to dedicate the time and resources necessary to generate them?

Think about how much you appreciate a handwritten thank-you note. Now turn that courtesy into a regular business practice.

Another Russell Investments executive has joined BMO Financial Group.

We got lucky in 2012. The financial markets held up. The economy, while slow, didn’t tank. Inflation remained benign. And the world held together. Blogger Steve Sanduski asks, will we say the same about 2013 a year from now?