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The registered investment advisory business had a knockout year in 2005, according to the recently released seventh-annual Rydex AdvisorsBenchmarking Survey.

The NYSE and the NASD are in talks to merge their regulatory operations, MSNBC reported on Monday. A deal could come in the next few months.

Pension Protection Act of 2006, which President Bush signed into law yesterday, allows Series 7-holders to provide advice to 401(k) plan participants and directs the Secretary of Labor to issue a class exemption for advice provided to IRA holders.

Lawyers who represent investors in securities arbitrations hope that a proposed NASD rule will take effect soon.

Lawyers get requests for powers of attorney all the time, and they're easy to churn out and then forget. But beware. Powers of attorney also are very easily abused. So easily, in fact, that the Illinois docket where we practice is flooded with sad...

The Pension Protection Act (PPA) that Congress passed at the start of the month—and which President Bush is expected to sign into law on Thursday—deals largely with the nation’s ailing pension system. But it also includes a...

In an effort to speed up the arbitration process, NYSE Regulation proposed Wednesday that a single public arbitrator decide cases in which compensatory and punitive damages claimed are under $200,000.

Brooke Astor, the famous New York City socialite and philanthropist, reportedly suffers from Alzheimer’s and no longer can comprehend anything of a financial nature, according to news reports.

The overtime-pay case keeps getting stronger. On July 31, a California court announced that it would not dismiss an overtime-pay case brought against A.G. Edwards under a Depression-era law that was crafted to protect blue-collar workers.