Displaying 3266 results
State best interest annuity rule begins journey to become law
Two down, 48 states to go for sales rule
The sound of silence
Regulation BI must be implemented by June 30, so why aren’t we hearing more about how brokerages are going to change the way they deliver investment advice?
CFP Board reforms enforcement procedures to align with new ethics code
The changes are designed to give the organization better access to information for disciplinary actions
Pandemic recovery offers opportunity to press deregulation
State regulators have asked Congress to halt SEC efforts to ease private-market rules
Trade group sues SEC to stop collection of retail investor data
SEC goes too far in gathering names, addresses and birth years for new market surveillance system, group argues
Morningstar to pay $3.5 million to settle SEC conflict-of-interest charges
The research firm did not comply with rules designed to separate credit ratings from sales and marketing, according to the regulator
SEC puts pressure on fee transparency in increasingly complex wrap accounts
The regulator often includes the fees among its annual examination priorities, however they were not on the list this year
Morgan Stanley hit with $5 million penalty for misleading clients in wrap account program
The SEC charged the wirehouse with not fully disclosing fees for five years
Showdown in 2nd Circuit over Reg BI
The smart money is betting the SEC will prevail in the challenge to its new rules scheduled to take effect June 30
Court’s decision on Reg BI lawsuit could come down near implementation date
The 2nd U.S. Circuit Court of Appeals agreed to an expedited oral argument in early June
Big US stock traders get SEC OK to start own exchange
Heavyweights backing Members Exchange, which include Morgan Stanley, hope the venture will reduce the cost of market data
Even with SEC guidance, advisers must decide when to disclose PPP loans
The regulator deems ‘material’ federal help to pay personnel who work with clients
SEC pulls license from New York broker-dealer
The regulator alleges Portfolio Advisors Alliance used false offering documents
Fiduciary rule rewrite still expected despite departure of DOL official
The agency may not complete the legislation until late in the year, while it deals with fallout from COVID-19
SEC charges California adviser with cherry-picking
The regulator alleged that Donald Kellen allocated winning trades to his own account
State-registered investment advisers need better cybersecurity: NASAA
Coordinated exams also show deficiencies in books and records, contracts and fee-related matters
SEC orders RBC to pay $3.9 million over share-class disclosure
The enforcement action demonstrates the agency's continued targeting of conflicts over fund fees
Finra proposes one-stop shopping for background checks on advisers
Under its proposed rule, BrokerCheck and the SEC's database would display the same information on dual registrants
Financial industry opponents remain wary of SEC’s crackdown on share-class disclosure
The end of the formal initiative failed to soothe worries about future enforcement
SEC wraps up share-class initiative by settling with Merrill, two others
Over two years, the agency's initiative returned more than $139 million to investors
