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  1. James Langton
    Information provided inadvertently by Bridgewater employee
  2. IE Staff
    Upcoming regulatory deadlines of interest to financial advisors. Updated weekly.
  3. James Langton
    The amendments push back the effective date of reporting obligations
  4. James Langton
    Scholarship plan dealer CEO, Issam El-Bouji, ordered to disgorge almost $2 million
  5. IE Staff
    Ombudsman recommended the investment firm pay over $290,000 in compensation to clients
  6. James Langton
    2013 Enforcement Report shows continued focus on seniors and suitability
  7. James Langton
    It will remain a challenge to reach a life expectancy of 100
  8. James Langton
    Basel Committee announces revised standard for measuring large exposures
  9. Malcolm Morrison
    Dow posts triple-digit gain
  10. James Langton
    Scope extended to trading venues such as multilateral trading facilities and over-the-counter (OTC) markets