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New information FINRA is exploring adding to the BrokerCheck system could include the reason for and comments related to a brokers termination as well as scores on industry qualification exams.
February 23 -
The capital markets industry will increase its spending 8.5 percent a year on technology that combats financial crimes, through 2015.
February 23 -
With our economy in the shape its in, and saving for retirement more difficult than ever, it was critical that this troubling provision be stripped from the bill, according to a statement from FSI President and CEO Dale Brown.
February 22 -
A Financial Industry Regulatory Authority arbitration panel ordered Memphis-based Morgan Keegan & Co. to pay a Birmingham investor $1.95 million for misrepresenting that the Jefferson County, Ala., sewer bonds he purchased were safe, liquid and tax-free investments.
February 22 -
A sports agent, whose company represents star clients including Denver quarterback Tim Tebow, won $400,000 in a ruling against brokerage Morgan Keegan & Co., due to personal losses from bad bond investments.
February 21 -
Prompted by a delay in a big trade at a popular ETF, the SEC is taking a closer look at a possible connection between high-frequency traders and hedge funds jumping in and out of ETFs, and instances where ETF trades fail to settle on time.
February 21 - Money Management Executive
The Securities and Exchange Commission (SEC) could be hampered down in conducting oversight and regulatory actions granted back in 1934 thanks to a new bill that passed through the House Financial Services Committee yesterday.
February 17
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Here are 10 global investment predictions for 2012 that advisors and their clients should be monitoring through the rest of the year.
February 17 -
Going forward, investment advisors will no longer be able to include the value of an investor's home in a new $1 million minimum of investable assets now required to charge performance fees, according to the SEC, which is tightening its rule around fees.
February 16 -
What terms will you need to get familiar with as clearing of what can be considered exchange-traded swaps starts up? Heres one answer, in a gallery of key acronyms.
February 16
