SEC, FINRA Enforcement: HFT Firm Charged With Manipulating Closing Prices
In another action, FINRA slapped TD Ameritrade for a recordkeeping failure.
IRS Warns on Phone Scams as Its Contractors Put Taypayer Info at Risk
Agency warns of the biggest phone scam it has ever seen; meanwhile, a report finds IRS gave contractors taxpayer data without mandatory background checks.
The Tech Revolution's Disruptions Begin
Keep an eye on tech-driven socioeconomic tensions.
When Advisors Face Creative Destruction
How not to go the way of the medieval scribes.
10 Best Mobile Apps for Financial Advisors: 2014
There’s a morass of apps available, but as a financial advisor, which are best for your business? Here are 10 that are worth your time.
Bernanke’s ‘Tragic Flaw’ Feeds Fed-Fueled Bubble: Fed Filmmaker
Jim Bruce, producer and director of "Money for Nothing," says Yellen shares Bernanke’s background; sees crash coming.
SEC, FINRA Enforcement: Alcoa Fined $384M for Bribery
Meanwhile, Barclays felt FINRA's wrath, and J.P. Morgan Securities racked up two FINRA fines.
SEC, DOL Enforcement: Indiana School District, Muni Bond Writer Face Investor Fraud Charges
Recent actions include FERC winning a $410 million settlement from JPMorgan, DOL stepped in against Kentucky-based plan fiduciaries, insider trading charges against former CEO in Spain.
Advisors, Start Preparing Now for the Post-Boomer World
After years of baby boomer-this and baby boomer-that, urgent attention is now being directed at next-generation wealth accumulators—and how best to serve their needs.
Any Luster Left for Precious Metals?
Understanding the world's different metals and their dynamics in the global economy is key to maximizing their value in portfolios, say experts at ETF Securities.