Tax officials will focus on high earners and corporations that are not paying their fair share.
Investment Adviser Association files petition pushing agency to make number of staff, not AUM, the deciding factor in defining a firm as 'small.'
Over nearly three years 'our branch examiners have refined their skills and become very adept at identifying risk remotely,' insists LPL Financial.
Hodgepodge of different regulations needs addressing, says securities lawyer.
Legislation in California that will likely become law goes much farther than an SEC proposal on emissions reporting for public companies.
Academics suggest improvements to the savings system and restoring the solvency of Social Security.
Leader accused of proposing regulations that are ‘sowing discord and confusion.'
YieldStreet failed to disclose heightened risk, according to the SEC.
Golden State’s proposal will force corporations to make carbon emissions public.
States found lower rates of problems with investment advisors across numerous categories.
Even before seeing the text, the insurance industry says the measure to raise advice standard for retirement accounts will hurt middle- and low-income savers.
With the Massachusetts decision, the fiduciary question now moves to states.
Most HNW individuals are compliant because they have quality advisors who know the law and how to follow it correctly, says one advisor.
Former Trump Attorney General enters fight with other heavyweights on behalf of broker-dealer against Biden’s Justice Department.
'It’s the most extreme churning I’ve seen in more than 40 years,' the investor's lawyer says.
'I can’t recall when they’ve been so explicit about what they do and why they choose a firm for examination,' a compliance expert says.
The cost of the new system was estimated at $500 million at the end of last year.
The more than a dozen major new rules the agency has proposed or finalized will create significant disruption for investment advisors, with substantial long-term implications.
'Efforts to address the standard of care concepts established by Reg BI remain perfunctory,' the NASAA report states.
Carrie Tolstedt, the bank's former head of retail banking, pled guilty this year to obstructing the investigation of the bank's fake accounts.
