Regulation

How long must a broker-dealer keep records of accounts that have left the firm?

Are firms doing all they can when it comes to handling material non-public info?

If we want uniform rules on investing recommendations, why stop at advisors?

The CFP Board continually seeks to amplify its message to policymakers by joining with other, similarly focused groups to form a broader advocacy base. Those partnerships, together with the strategic counsel from a clutch of outside experts, have helped the board establish its presence in Washington, even with only a meager staff of three.

Securities and Exchange Commission Chairman Mary Schapiro today made the following statement in the aftermath of Hurricane Sandy.

Neil Bathon, founder of Fuse Research Network, has big plans for the research shop.

State securities regulators brought 399 enforcement actions against investment advisor firms in 2011, nearly double the total from 2010.

The CFP Board prides itself as the issuer of a leading credential for financial planners, and that means that certificants are expected to adhere to a rigorous set of professional standards.

A delegation of fund firms, including BlackRock and Fidelity Investments, who are meeting with the Securities and Exchange Commission and Treasury Department officials today to discuss proposals for a potential compromise on money market fund reforms.

Value Line Funds has combined the Value Line U.S. Government Money Market Fund (VLCXX) into the Reich & Tang Daily Income Fund - U.S . Government Portfolio, effective October 19.