Practice

FINRA has flexed its enforcement muscle several times in recent days but there is still a high level of anticipation to see more regulatory oversight.

The Chicago-based executive search firm, which has a roster of real estate investment trusts, real estate managers and private equity managers, wants to expand to offer services to asset and wealth management firms.

Southwest Securities Inc. has agreed to pay $470,147 to settle charges with the Securities and Exchange Commission for violating an anti-pay-to-play rule by co-underwriting Massachusetts bond deals within two years after its former senior vice president made political contributions to state Treasurer Timothy Cahill.

Timing of Senate Action Is Unclear

President Obama's successful fight to pass health-care reform has given a bill to revamp the financial system a dramatic boost, lawmakers from both parties said Wednesday.

Pending hedge fund regulations in the European Union are “protectionist [and] discriminate against U.S. firms and activities,” Sen. Charles Schumer (D-N.Y.) said in a letter to Treasury Secretary Timothy Geithner.

With nearly half of America’s workforce, 78 million people, without a retirement plan, Prudential is advocating that Congress pass a law to include automatic IRAs and multiple small employer plans in the Pension Protection Act of 2006.

A new report suggests that America will face a significant labor gap by 2018, opening many job doors for Boomers.

A new study indicates that high-net-worth individuals are relying on their own investment expertise rather than financial advisors.

Aging and retirement questions are especially critical to lesbian, gay, bisexual or transgendered individuals and couples that are often single, childless and even when they do form families, have no nationally guaranteed legal provisions to help them work through these critical issues.