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  1. Articles

    Big data becomes a sharp weapon for regulators

    Regulators are using troves of digital information to monitor broker-dealers

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    Coming off a big year, Janus files for exotic ETFs

    Janus Capital Group Inc. this year has already snagged the world's most famous bond fund manager and acquired a manufacturer of exchange-traded funds.But it has even bigger plans in the ETF market, and they go beyond Bill Gross, according to filings with federal regulators.The fund manager late

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    SEC's White defends coverage of investment advisers

    Chairwoman says agency is considering augmenting adviser exams with third-party audits.

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    Alternatives offer money managers a profitable lifeline

    Low-cost index funds capturing 25% of new assets but drive just 5% of revenue.

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    Senate set to approve national insurance-agent registry

    Though new board has wide support among state regulators, GOP senator cries foul over infringement of states' rights.

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    Alts fund manager Daniel Thibeault arrested in securities fraud

    The FBI accused GL Capital Partners CEO Daniel Thibeault of creating fictitious loans to divert millions in assets to business accounts.

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    Wedbush founder faces bigger penalty, suspension after losing appeal

    A review board denies the 82-year-old founder and president of Wedbush Securities' appeal and issues harsher sanctions, increasing the scope of the original suspension and doubling the fine for reporting violations.

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    Will the SEC use its extra funding to strengthen adviser oversight?

    Now that it looks like the SEC will get an additional $150 million in funding, speculation is mounting on how the funds will be deployed. Is increasing adviser oversight going to be a priority?

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    SEC works on rule requiring practice transition plans

    The regulator wants advisers to develop continuity plans to avoid major disruptions to clients and markets.

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    After Dodd-Frank, SEC relying more on own judges

    After Dodd-Frank, SEC relying more on own judges. Regulator claims practice is more efficient, but lawyers say it puts defendants at a disadvantage

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    Congress set to pass bill giving SEC a budget boost, leaving DOL fiduciary rule alone

    The bill preventing a government shutdown includes SEC funding hike and allowance to cut pensions. Left out is language that would have killed the DOL's fiduciary rule.

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    After hearing from member firms, Finra considers revising communications, gift rules

    Broker-dealer regulator promises to modify rules after survey identifies 'pain points'.

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    Political bickering aside, the health care sector is a healthy investment

    The seemingly endless political bickering over health care reform has not dampened investor enthusiasm for the sector, which is leading all stock categories this year, up 24%. “Health care has been kicking tush, and most of my clients want more of it in their portfolios,” said Theodore Feight,

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    Financial adviser, and Teddy bear collector, goes to prison for fraud

    On Thursday's Breakfast with Benjamin, adviser, Teddy bear collector and former New York Islanders co-owner gets jail time for major financial fraud. Plus: Congress is finally disapproving of Congress, the real 'slack' in the labor market, and realizing even more things are taxable than you ...

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    SIFMA invokes fear of cyberterrorists in plea to fold CARDS

    Major Wall Street interest group cites cost, regulatory creep and impact on civil liberties in attack on Finra's data-gathering proposal.