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The SEC plans to take a close look at potential conflicts of interest in the investment-advisor practices that its examiners oversee, and will ramp up scrutiny of the marketing and performance claims of federally registered advisors, according to the examination guidance the agency recently issued for the coming year.
February 25 -
The Year of the Snake began on February 10. According to Chinese folklore, this year will be known for steady progress and attention to detail.
February 22 -
Are active exchange-traded funds just a gimmick? And is there a resolution in sight for any potential further reform of the money market mutual fund industry?
February 22 -
The largest purveyor of money market mutual funds in the United States this month told the Financial Stability Oversight Council that no further reform of such funds is necessary.
February 22 -
Mike Tyson is preparing for another fight -- this time, with his former financial planner.
February 22 -
A Phoenix registered investment advisor has agreed to pay nearly $275,000 to the SEC in a case stemming from the sale of a stake in his firm -- at an allegedly inflated price -- to a client.
February 22 -
In her first extensive interview since becoming the lead Democrat on the House banking panel, Rep. Maxine Waters says she has learned a lot from watching former Rep. Barney Frank's leadership and will strive to emulate his example.
February 19 -
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 -
FINRA appears to be pulling back from its campaign to regulate RIAs -- and advisors couldnt be happier.
February 7 -
When it comes to understanding white collar criminals, Walter A. Pavlo, Jr. wants financial services professionals to know one thing: they look a lot like them.
February 5 -
The Securities and Exchange Commission promoted George Canellos, currently Deputy Director of the Division of Enforcement, as Acting Director. The appointment is effective February 8.
February 5
