Lobbyists Gear Up to Prod New Congress on User Fees, Retirement, Cybersecurity
The IAA, for one, sees an opportunity to gain Republican support for an SEC user-fees bill.
Valliere: Despite Victory, Republicans Shouldn’t Think Voters Love Them
Strategist Greg Valliere cautioned that the midterms were a referendum on Obama, not the GOP, and discussed what he said were six big political myths.
Why NASAA Is Leading the Charge Against Elder Fraud
At least one-third of the enforcement actions initiated by state securities regulators involve senior investors, and NASAA is tackling the issue head on.
New Hire Roundup: SEC Names Levine to Head Advisor Exams in Chicago
In another career move, Elliot Hollingsworth has joined wealth advisory firm Halbert Hargrove as regional director.
House Dems Call for SEC Crackdown on Corporate Anti-Whistleblower Practices
Lawmakers say “overly restrictive nondisclosure agreements,” for example, threaten the SEC's whistleblower program.
Starting Over When a Nest Egg Is Gone
Losing a retirement portfolio is devastating—but recovery is possible, with the right financial advice.
Focus Financial Strikes 6 Merger Deals for Partners
One advisor acquisition came about through a discussion about succession planning, an executive says.
Enforcement Roundup: Stock Scam by New Yorker Used to Pay for Vacation, Plastic Surgery
Meanwhile, Rajaratnam brother to pay more than $840,000 for insider trading.
Former PIMCO Parent Pacific Life Moves Accounts to Janus
Pacific Life is moving some money to Bill Gross’ new firm, Janus, which said the decision pre-dated Gross’ exit.
Big Reg Charge Slashes LPL’s Q3 Earnings Forecast
One analyst says LPL's "inability to guide effectively on expenses," particularly regulatory ones, is a "recurring problem."