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WASHINGTON -- The Securities and Exchange Commission is embarking on a nationwide inquiry into municipal securities that will lead to specific recommendations for changes to laws and regulations to better protect investors and the market.
May 7 -
Theres a move for more transparency in target-date funds, although some market observers are convinced they wont solve the current problems.
May 7 -
In 2010, advisors are looking to grow their business. But in order to have time for recruitment, youre going to have to let some of your clients go. Heres how.
May 7 -
WASHINGTON - Securities and Exchange Commission Chairman Mary Schapiro today said the SEC is embarking on a nationwide inquiry into municipal securities that will lead to specific recommendations for changes to laws and regulations to better protect investors and the market.
May 7 -
FINRA said Thursday that it has ordered Los Angeles-based Westpark Capital to pay $400,000 for supervisory system failures, and has suspended two officers for failing to supervise brokers who churned customer accounts and committed other violations.
May 7 -
Macaskill: "We didn't really understand what we owned."
May 7 -
The Financial Industry Regulatory Authority is preparing to take enforcement action against certain firms for selling municipal bonds to retail customers without disclosing material information, including that the bonds credit ratings had been spiraling downward, a FINRA official said Thursday.
May 7 -
Loan-level data about the mortgages pooled in those MBS was available to investors in Abacus and other such deals throughout the frothy heyday of CDOs
May 7 -
Though it was clear from the start that a Republican alternative on the consumer bureau was going to fail, GOP lawmakers dragged out the debate rather than allowing the measure to be voted on and moving on to some of the roughly 140 other amendments still to be considered.
May 7 -
Charles Schwab will pay an additional $35 million on top of the $200 million settlement announced April 20 in the District Court, Northern District of California case against the Schwab YieldPlus fund.
May 7
