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As brokers and investors are all too aware by now, IRS Form 1099-B, on which brokerage transactions are reported, has a new look this year and advisors and clients are scrambling to makes sense of it.
February 29 -
NYSE Euronext said its annual report to the SEC that it incurred $85 million of legal, banking and other expenses in 2011 from its unsuccessful plan to merge with Deutsche Boerse.
February 29 -
Raymond James clears one hurdle in getting early termination of the waiting period in connection with the $930 million purchase of Morgan Keegan
February 28 -
FSI needs a bit more time to respond, and some of the data requests seem misguided, according to a letter it sent to the Labor Department.
February 27 -
Peter H. Sargent explains why he chose Janney. A 20-year veteran and top producer at Merrill, Sargent boasts $250 million in client assets.
February 27 -
That amounts to two-thirds of the value gained in the past year. And was driven by interest in and appreciation of domestic stocks.
February 24 -
FINRA is seeking input regarding changes it is weighing with respect to BrokerCheck. The proposed changes prompted a swift and strong response from readers on Financial Plannings discussion boards.
February 24 -
This is the week that actively managed exchange-traded funds get their biggest booster shot since they first arrived, less than five years ago.
February 24 -
The new regulations follow a model that the North American Securities Administrators Association passed in December.
February 24 -
BATS Global Markets said the SEC's Division of Enforcement is looking at its methods for developing new order types as well as how it develops its information technology systems.
February 24 -
The Commodity Futures Trading Commission voted to approve new rules governing, among other things, when swaps dealers can delay reporting on the size and price of their block trades.
February 24 -
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 -
Cove Street Capital is sponsoring its first mutual fund, the CSC Small Cap Value Fund, which it begin managing on Jan. 27. The funds former investment manager was City National Asset Management, Inc.
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 -
"A mutual fund seeking current income and capital appreciation by investing primarily in fixed-income securities issued by developed countries, including the U.S. The Fund is not a money market fund. The share performance of this Fund fluctuates on a daily basis."
February 17 -
What happens if the money market mutual fund industry just goes away?
February 17
