Of the litany of regulations coming around the bend within the retail investment space, financial advisers said they are most concerned about the fiduciary standard and additional disclosure rules.
Community Resource Federal Credit Union, Latham, N.Y., held a bottle recycling drive throughout the local community to raise money for a donation to the Mohawk & Hudson River Humane.
If your paycheck shrank a little last year, you're not alone.
The SEC said today it has adopted a temporary rule requiring advisors who provide advice to state and local governments to register with the agency by Oct. 1.
Joe and Jane Consumer may be overwhelmed with what the recently enacted legislation aimed at overhauling financial services means in their day-to-day lives. But advocates say the changes are really in their best interest.
The SEC is asking for feedback on the areas of the Dodd-Frank Wall Street Reform and Consumer Protection Act that will impact investors.
The SEC said Goldman Sachs & Co. will pay a $550 million fine, the largest penalty ever paid by a Wall Street firm, to the agency, and reform its business practices to settle charges that it misled investors in a subprime mortgage product.
Investment advisers will soon have to abide by new SEC rules that curb campaign contributions to elected officials given with the hope of getting lucrative contracts for the management of public pension plan assets.
As if it weren't enough that some baby boomers are adjusting to not being able to retire when they would like to, many of them are now dealing with con artists targeting them for all kinds of fraudulent schemes.
The SEC has adopted new rules that curb campaign contributions to elected officials from investment advisers who give with the hope of getting lucrative contracts for the management of public pension plan assets.