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FINRA has fined and censured a company owned by Cetera Financial Group, one of the countrys largest networks of independent broker-dealers, $40,000 for late and improper filings in more than half of its sales branch offices, among other filing problems.
February 15 -
After less than a year of striking out on its own, Pyxis Capital is right back to where it started.
February 15 -
The outlook for the asset management industry in 2013 is strikingly more positive than it has been in years.
February 15 -
The banking industry and outside observers weighed in Wednesday on a White House order that aims to bolster protection of the nation's critical infrastructure against cyberattack.
February 14 -
The White House issued an executive order on Tuesday that aims to strengthen protection of the nation's critical infrastructure against cyberattack.
February 12 -
American poitics have entered an era of bad will, said former White House press secretary Ari Fleischer. Nothing will happen of note on the federal budget until after the next Congressional elections, he forecast.
February 12 -
The Seventh Circuit Court of Appeals has affirmed the dismissal of a class action that sought damages by class members as a result of the 2008 UBS tax evasion scandal.
February 11 -
Mary Jo White, President Barack Obamas nominee to lead the U.S. Securities and Exchange Commission, said she will avoid some matters involving firms including JPMorgan Chase & Co., General Electric Co. and Deloitte & Touche LLP if confirmed by the Senate.
February 10 -
The outlook for the asset management industry in 2013 is strikingly more positive than it has been in years.
February 9 -
Fidelity Financial Advisor Solutions, the Defined Contribution Investment Only unit of Fidelity Investments, is looking to grow its team of wholesalers.
February 9
