Congress Begins to Tackle Retirement
Congress this week is turning its attention to the country’s retirement security crisis, particularly for workers in small and midsize businesses.
PIMCO’s Gross Used $45 Billion in Derivatives to Lift Fund Gain
Bill Gross is relying on derivatives rather than Janet Yellen to raise his returns on government bonds.
How to Join 9,000 Taxpayers With Romney-Sized IRAs
If it seems impossible to amass a fortune in an IRA during your lifetime, think again.
SEC Hits New York HFT Firm With Biggest-Ever Net Capital Fine
The SEC has fined a high-frequency trading firm $16 million, the largest penalty ever for a net capital violation.
U.S. Donors Gave $335B to Charity in 2013: Report
The recession has been over since mid-2009, but charities are just now catching up.
Beatty Begins 1-Year Term as NASAA President
William Beatty will focus on senior financial abuse and new electronic state filing of Form D for Rule 506 offerings.
SEC Cracks Down on 19 Firms, 1 Trader for Short Selling Prior to Stock Offerings
An SEC dragnet of short sellers has hauled in 19 firms and one trader, costing the violators $9 million in disgorgement, interest and penalties.
SEC’s Uniform Fiduciary Rule Could ‘Haunt’ Advisors
Creating a uniform fiduciary duty rule for brokers and advisors is a “deeply flawed” concept, says former investment management deputy director Robert Plaze.
Ex-UBS Intern Sues for $5M Over Sexual Harassment, Discrimination
Young woman says her advisor boss promised her purses and shoes as “a bonus” for sexual favors.
Women Less Likely Than Men to Use Mentoring Programs: Edward Jones
Women are becoming bigger players in the financial industry, but there is still a gender gap when it comes to career advancement.