Institute of Finance

  • Earning by Learning

    By Jane Wollman Rusoff  |  January 1, 2008

    Wachovia Securities was all set to pull the plug and suspend a financial advisor's license last year. The FA's bad behavior? Putting off taking continuing education...

  • Group Think

    By Staff Writer  |  September 1, 2007

    Securities and Exchange Commission Chairman Christopher Cox announced that two new organizational units will be formed within the Office of Investor Education and Advocacy: The...