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Regulators compose new music for broker-dealers and investment advisers

USA - June 15 2015 Federal regulators finally seem to be sharpening their pencils to achieve greater harmony between broker-dealer (BD) regulation and investment…

Feds dig for disguised fund distribution fees

USA - March 25 2015 A nearly two-year SEC sweep examination of mutual funds' payments for distribution and other services appears to have concluded. Now, the question is…

Investment advisers craft fee rebate programs

USA - December 22 2014 Recently-publicized fee rebate programs may signal a coming trend, as investment advisers seek to market strong cultures of client service and…

Carhops and cash deposit bags: insurer skates from the “dual purpose” doctrine

USA - December 11 2014 For many, Sonic Drive-In restaurants stir thoughts of juicy burgers, neon-blue sodas, '50s rock 'n' roll, and roller-skating carhops. Recently…

The golden state annuity burglar: a neasham remix

USA - September 16 2014 Alan Lewis, a former California insurance agent who faced criminal charges for annuity "twisting," was released from jail after a Superior Court…