Practice

The SEC will also require glidepath graphics and asset allocation taglines in advertisements—a new twist for funds that really aren’t as easy as they look.

The Senate has the advantage in conference committee, but advocates have allies there, too.

A new survey from TD Ameritrade finds that boomers are less likely to consult spouses when it comes to financial matters.

House conferees debating financial regulatory reform legislation today are expected to vote on amendments that would require the Securities and Exchange Commission to register and regulate municipal financial advisers, replacing Senate language that would give such regulatory authority to the Municipal Securities Rulemaking Board.

More than 7.3 million older Americans — one out of every five citizens over the age of 65 — already have been victimized by a financial swindle, according to a new survey.

The ICI is asking both high-frequency traders and dark pools for more information—and turning to the SEC for help.

Lawmakers unexpectedly added an overhaul of the deposit insurance system to the final regulatory reform legislation on Tuesday, adding sweeping provisions that were not part of either the House or Senate revamp bills.

The May 6 Flash Crash has sent the Investment Company Institute into action. The Washington trade association wants a better handle on high-frequency trading and dark pools. Not only is the ICI asking this clandestine corner of the market for more information, but it’s urging the Securities and Exchange Commission to look closer, too.

Putnam Investments plans to continue to aggressively expand its array of products even as market volatility has forced some competitors to retrench.

WASHINGTON — House conferees finalizing the regulatory reform bill unexpectedly proposed Tuesday to add sweeping provisions that would greatly expand deposit insurance coverage, but it remained unclear if their Senate counterparts would accept the package.