mutual fundsRegulators are seeking independent research to assist in their decision, expected next year, on banning trailer fees
Individual stocks are increasingly dancing to their own tune: report
The federal regulator has also issued amended Capital Adequacy Requirements Guideline for banks
Company dumps anti-class action stance after FINRA order
RRIF meltdown strategy resulted in investor losses
Amendments would expand firm’s obligations to verify the accuracy and completeness of info contained in applications for registration
Assets under management are at an all-time high, and productivity has increased as well. But there are some concerns about the sustainability of these results and there are indications that major changes may be on the horizon
PAC membership grows to 18
Amendments balance the investor’s right to choose with the need to protect investors from conflicts of interest
Proposed policy addresses conflicts of interest, transparency and accuracy