Practice management

Database would give the SEC details on each trade

The Securities and Exchange Commission task force on hedge funds, buyout funds and mutual funds is looking to hire five fund managers, chief operating officers or executives with “direct exposure to trading and operations,” according to a help-wanted ad it placed last month.

The gap between advisors and clients when it comes to what each thinks are the risks in retirement is vast.

While the subject continues to be hotly contested, at least one regulator, FDIC Chairman Sheila Bair, is satisfied that the pending regulatory reform bill would put eila Bair, is satisfied that the pending regulatory reform bill would put a stop to government bailouts.

Republicans and Democrats escalated the rhetorical war over regulatory reform on Wednesday, with each side accusing the other of playing politics.

One defendant claimed he didn’t know his associate’s last name because “you do not ask a comrade for a last name.”

For many boomers, unemployment is a reality they haven’t faced in decades.

Fidelity persists on path to nabbing more 401(k) assets, this time offering RIAs an all-in-one package to sell to their business clients.

Democrats and Republicans escalated the war of words over regulatory reform on Tuesday, with the GOP saying the current bill is unacceptable and the White House objecting to any compromise.

Four years after the Federal Deposit Insurance Corp. launched an elaborate deposit insurance pricing system, the agency has gone back to the drawing board.

A recent study indicates that taxes on the rich have declined significantly while remaining the same on the middle class. Oddly, not all wealthy people are happy about this development.

Despite the potential heavy burden that long-term care could place on many Americans during retirement, very few have actually planned for it, according to a survey by Genworth Financial.

Company expects $10 million in production within a year from the region. It also wants to enter the Rocky Mountain and Mid-Atlantic regions.

Acquisitions by independent firms gets back on track after stumbling slightly in 2009.

Assets increased 18% as more investors have started to seek out advice regarding their retirement nest egg.

Regulator calls for tracking individual loans to increase transparency of private deals.

Speaking Monday in Washington to a conference of the Council of Institutional Investors, Bair also reiterated her agency's hopes to tie a bank's compensation structure to its deposit insurance rate.

WASHINGTON — As the Senate prepares to debate regulatory reform legislation, Sen. Carl Levin is using the failed Washington Mutual Inc. as evidence that the bill's most contentious provisions are necessary.

FINRA fine grew out of blackmail attempt against the firm.

A new study predicts that the number of older Americans working longer will accelerate over the next two decades.