Practice

The Securities and Exchange Commission has proposed a new rule, based on requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act, that would help those managing their own family's financial portfolios determine whether their “family offices” can continue to be excluded from the Investment Advisers Act of 1940.

New York watchdog Andrew Cuomo has nabbed another firm for allegedly bartering investment deals with the state pension funds without a required securities license.

Seeking to rebut concerns the Federal Deposit Insurance Corp. would use its new resolution powers over large firms to play favorites with creditors, the agency released a proposal Tuesday designed to severely limit who could receive extra relief in a failure.

In their search for financial security, younger insurance policyholders are finding what they need in whole life insurance policies.

How to fire clients you don’t like working with, impose higher account minimums and make centers of influence work for you.

Despite positive performance from “risky asset markets,” the typical U.S. corporate pension plan saw its funding ratio drop by 1% thanks to the drowning effects of high rising liabilities, a new study claims. In a Friday analysis, UBS Global Asset ...

Three months after the regulatory reform bill ordered the OTS' elimination over the next year, efforts to bring the agency into the OCC fold have been plagued with bitterness, communication problems, unease on job placement and rampant conflicts.

I hadn't been at the lunch table more than 20 minutes. And my tablemate - the chief regulatory officer for a stock exchange based in Kansas - might as well have just said, "put a fork in it."

Financial planners and investment advisors are moving broadly and quickly to adopt the Windows 7 operating system for their personal computers as well as the Apple iPad for their personal use, according to preliminary results of the 2010 Software Survey released Sunday at the Financial Planning Association's annual conference by Financial Planning magazine and virtual office consultant Joel Bruckenstein.

Some parts of the fixed-income market are hard to track with a traditional ETF.