Be sure to have a solid, informed case for your viewpoint on bitcoin.
Leslie Koonce denied he took part in private securities transactions.
SEC, Finra targeting high-fee share classes, 12b-1 fees and failure to give sales load discounts and waivers to investors.
Taxpayers will be able to deduct state income taxes or state sales taxes in addition to property levies — up to a $10,000 cap.
Self-regulator was investigating Brian Travers' outside business and private securities transactions.
The so-called FIFO provision could also lead to yet-unrealized planning opportunities for advisers.
Pass-through provisions are target of groups representing employee-model brokerage firms, as well as retirement plan advisers.
Regulator was investigating JoeAnn Walker's sales of variable annuities.
Bipartisan measure would automatically enroll plan participants in electronic delivery.
State securities regulator group says investors also should beware real estate, Ponzi schemes.
They say rule didn't go far enough and more stringent measures may be necessary.
Agency says Westport Capital's clients lost $1 million through inflated stock buys.
SEC chairman urges investors to use common sense, market pros to mind securities laws.
Plaintiffs cite the two provisions of the regulation that became applicable in June, which they claim are 'imposing direct, substantial and continuing burdens on appellants' members.'
Retirement plan advisers and firms can use software filters to see how their fees compare to industry peers.
Investors Capital, J.P. Turner and VSR to pay $698,612 for pushing higher-priced fund classes.
California brokers Charles Frieda and Charles Lynch allegedly exposed clients to undue risks.
Reform proposals should not be drafted behind closed doors
Regulator says Kenneth Tyrrell engaged in undisclosed trades worth $13 million.
