Search Results

Thirty percent of investors think their brokerage firms don't charge annual service and maintenance fees, although almost all of them do.

While the SECs involvement provides the brokerage industry another front for battling the White House plan, it also gives the Labor Department cover to proceed on its own.

S&P 500 Index companies contributed an average $1.5 million to their CEOs pensions, compared to an average of about $550,000 in 2013.

Pensions are helping to fuel a jump in average chief executive officer pay -- and the reason is largely out of companies control.

F-Squared in December agreed to pay $35 million to settle a lawsuit brought by the U.S. Securities and Exchange Commission.

The agency, she says, should implement a uniform fiduciary duty for broker-dealers and investment advisers where the standard is to act in the best interest of the investor.

The SEC is being drawn into the middle of what promises to be one of the most bruising Wall Street lobbying battles in years.

GOP lawmakers question the DOLs authority in making the rule, arguing it is the Securities and Exchange Commissions jurisdiction.