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Seventeen muni groups are urging members of Congress to reject President Obama's proposal to place a 28% cap on the value of tax-exempt interest, warning it will hurt the market and that its retroactivity will reverse nearly 100 years of legislative history.
February 16 -
NYSE Technologies, the commercial technology unit of NYSE Euronext, has launched a post-trade monitoring tool for compliance officers.
February 14 - Money Management Executive
A year ago, the firms more than 4,000 advisors in the United States had to manually submit each post in advance for review. Now, Raymond James Financials has automated the compliance and publishing process, to speed up communications with customers.
February 13 -
A year ago, the firms more than 4,000 advisors in the United States had to manually submit each post in advance for review. Now, Raymond James Financials has automated the compliance and publishing process, to speed up communications with customers.
February 13 - Money Management Executive
The 30th Annual National Investment Company Service Association Conference & Expo opens Monday, with the intent of helping fund companies learn how to be Engaging Investors in a Hyper-Connected World. Heres an introductory look.
February 10 -
The Department of Justice announced that it filed a notice with the U.S. District Court for the District of Columbia to dismiss its antitrust lawsuit regarding the potential merger of Deutsche Boerse AG and NYSE Euronext.
February 10 -
The global effort by the U.S. government to catch American tax cheats intensified this week as France, Germany, Italy, Spain and the United Kingdom agreed to support a broad new U.S. law requiring foreign financial institutions to disclose information about the foreign bank accounts of U.S. citizens.
February 10 -
UBS is expanding its compliance database to include information on environmental and social risks, which will be applied to companies, prospective sourcing partners and investment clients to ferret out controversy that could impact the bank's reputation and financial performance.
February 6 -
Wall Street's own watchdog filed a complaint against Charles Schwab Corp., accusing the online brokerage giant of requiring customers to waive their rights to pursue certain legal action against the firm, a violation of industry rules.
February 2 -
Authority details its top concerns in a letter directed to the industrys compliance officers.
February 1
