Regulation

Who would've thunk it?

She said, he said. A pair of financial planning organizations are dueling over designations.

The horserace politics of the run-up to the November presidential election may be the order of the day, but just around the corner in Washington lurk what promise to be contentious debates over fiscal issues of major significance for financial advisors and their clients.

Securities America has hired Denise Morrison as its new chief compliance officer.

The former CFO and Treasurer of Legg Mason's fixed income funds has been barred from the securities industry for altering books and records of one of the funds.

The agency's order initiating administrative proceedings alleges that Noah Myers, president of MiddleCove Capital, netted "ill-gotten gains" of about $460,000, while his clients lost more than $2 million from around October 2008 through February 2011, when an employee threatened to report the activity to the SEC.

A computer application deployed by the Charles Schwab Corporation that supported day trading online has flagged “cherry picking” of profitable trades by a Connecticut financial advisor

As the Republican convention kicks into high gear this week, don't expect the headliners to spend much time discussing the Dodd-Frank Act, much less its specific parts.

Commissioners Daniel M. Gallagher and Troy A. Paredes say proposed reforms to money funds “were unlikely to be effective.’’

Morgan Stanley and Citigroup have pushed the deadline for determining the fair market value of their Morgan Stanley Smith Barney joint venture to Sept. 10 as they wait for an independent appraisal to help reconcile their opposing values of the business