U.S. Labor Dept in data tussle over fiduciary rule
(Reuters) - The Labor Department is disappointed with the financial industry's response to a request for help in evaluating a planned rule for advisers serving retirement plans, but a major...
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U.S. Labor Dept in data tussle over fiduciary rule
(Reuters) - The Labor Department is disappointed with the financial industry's response to a request for help in evaluating a planned rule for advisers serving retirement plans, but a major...
Analysis: Regulator seen conflicted in Nasdaq’s Facebook mess
NEW YORK (Reuters) - It is not every day that a company bungles something so badly that it has to turn to a regulator for help to clean up its...
Analysis: Regulator seen conflicted in Nasdaq’s Facebook mess
NEW YORK (Reuters) - It is not every day that a company bungles something so badly that it has to turn to a regulator for help to clean up its...
Regulators, investors turn up heat over Facebook IPO
(Reuters) - Two top U.S. financial regulators said on Tuesday the issues around the initial public offering of Facebook should be reviewed, putting fresh pressure on the company, its lead...
Regulators, investors turn up heat over Facebook IPO
(Reuters) - Two top U.S. financial regulators said on Tuesday the issues around the initial public offering of Facebook should be reviewed, putting fresh pressure on the company, its lead...
FINRA digs for investment adviser details
WASHINGTON (Reuters) - Wall Street's watchdog wants more details about brokerages' business affiliates and has a clear message for responding to its requests: Do not resist. Those are not words...
FINRA digs for investment adviser details
WASHINGTON (Reuters) - Wall Street's watchdog wants more details about brokerages' business affiliates and has a clear message for responding to its requests: Do not resist. Those are not words...
Do the right thing. Then get fired
(Reuters) - Being a compliance officer just got a little riskier, at least for those who work in the heart of America's financial center. New York's highest court recently threw...
Do the right thing. Then get fired
(Reuters) - Being a compliance officer just got a little riskier, at least for those who work in the heart of America's financial center. New York's highest court recently threw...