FINRA’s 5 Biggest Fine Categories in First Half of 2014
Fines imposed by FINRA in 2014 are poised to far outpace last year’s, says a new analysis by the law firm Sutherland.
DOL Fiduciary Survey ‘Bogus,’ Advocate Warns Lawmakers
Foes of a revised DOL fiduciary rule are using a survey showing a harmful impact to win senators to their side, an industry official says.
Hedge Fund Winners and Losers in First Half
Hedge fund strategies come in and out of favor as the economic environment evolves. Here are the chart-toppers, and flops, for 2014 so far.
Wall Street's Next Political Storm
Think the fading memory of the financial crisis means Big Finance will take less political heat in the 2016 presidential elections? Think again.
12 Ways to Build Authentic Confidence
“Part of women's lack of confidence is genetic, the way our brains are wired,” journalist Katty Kay told us.
Wealthy Families Search for New Meaning of Wealth
HNW families are moving beyond mere wealth preservation alone to give new meaning to wealth ownership for each generation.
Are 401(k) Revenue-Sharing Deals on Their Way Out?
About 13% of plans had no form of revenue sharing whatsoever last year, a figure that most expect will only grow.
SEC Issues Mutual Fund Prospectus Guide, Delays Annuity Summary Plan
The SEC says mutual fund summary prospectuses should be three to four pages long and written in plain English.
New Hire Roundup: CFTC Names Goelman Enforcement Chief
Grace Vogel joined PwC’s financial services regulatory practice, and the Hedge Fund Association named three women to leadership positions.
SEC, DOL Enforcement: Appeals Court Backs SEC in Citigroup Case
The SEC may seek settlements without being obligated to require admissions of wrongdoing, the court found. Meanwhile, DOL fined GreatBanc Trust.