News Feed

The SEC has charged three investment advisors — OMNI Investment Advisors, Feltl & Company and Asset Advisors LLC — for failing to implement compliance procedures to prevent securities law violations. OMNI’s owner, Gary R. Beynon, was also charged.

The Best. The Brightest. And the Secrets of Their Success.

The Best. The Brightest. And the Secrets of Their Success.

These controversial products promise a high, consistent dividend, but the pitfalls are real.

An industry group has asked regulators to disclose the factors they will use to determine which muni broker-dealers pose more risks and should undergo compliance examinations more often under a new proposed exam program.

Risk management software firm Algorithmics has just launched a new risk reporting service for hedge funds in the U.S. and signed up fund of hedge funds manager Optima Fund Management in New York as its first client.

THE INABILITY TO INNOVATE AND THE DIRECT impact of that on their firm's profitability are fund executives' biggest regulatory concerns.This is one of the key findings from Money Management Executive's 2011 Regulatory Outlook Survey of 184 industry executives by Lodestar Research Corp.

Fidelity Investments and Verizon have partnered to offer Verizon’s four million FiOS subscribers access to the Fidelity Market Monitor Application that, for no additional cost, will provide them with quotes, charts watch lists and news.

Strategic Insight parent Asset International has completed its anticipated acquisition of certain FRC products and says it will make "significant investments to strengthen, enhance and expand acquired FRC products."

Fidelity Investments and Verizon have partnered to offer Verizon’s four million FiOS subscribers access to the Fidelity Market Monitor Application that, for no additional cost, will provide them with quotes, charts, watch lists and news.