Displaying 3266 results
Who benefits the most from non-transparent ETFs?
Look past the opaqueness of the portfolio and think of them as better than mutual funds.
SEC bars former Ohio rep imprisoned for fraud, theft
Martin Stancik, with Voya until 2014, is currently serving 65-month term.
Clayton wants retirement investors to have more access to private funds
SEC chairman indicates desire to modify accredited investor standard.
ETF that doesn’t reveal its assets poised to get SEC OK
Precidian Funds has been waiting four years for the agency's approval
SEC member Robert Jackson Jr. calls for ‘bipartisan’ Regulation Best Interest
Robert Jackson Jr. warns that the advice measure will need unified support to withstand legal challenges.
Galvin wants investment advisers to lay out fees for clients
One-page document would crystalize costs highlighted in Form ADV
New SEC nominee may not have time to influence Reg BI
Allison H. Lee could arrive just as the agency is finishing its advice reform rule, or get stuck awaiting Senate confirmation.
Maryland fiduciary bill killed in committee
Further action appears unlikely with legislature set to adjourn April 8.
Regulators assure industry CAT will not expose consumer data
SEC chairman Clayton says the agency will come to an agreement with the industry over what information to collect on equity trades.
Three crucial compliance requirements to satisfy right now
Advisers who don't know exactly what they need to file, haven't done it or haven't invested the resources to do it right can make big mistakes that can be very time-consuming and costly to undo.
Seattle-area adviser pleads guilty to defrauding investors of $3 million
Dennis Gibb admits to wire fraud and falsifying records; agrees to SEC bar.
SEC charges RIA firm’s former COO with overbilling clients and inflating salary
Agency says Richard Diver's scheme overcharged clients of M&R Capital by $750,000 .
Supreme Court backs SEC, rules against investment banker
Banker held liable for taking part in scheme to defraud investors.
Democrats back legislation to require investor-testing of SEC advice rule
Republicans assert bill would simply delay the new rule.
‘Whopper’ UBS broker sentenced to prison for Puerto Rico bond fraud
Jose Ramirez pleaded guilty to misusing credit lines to purchase securities.
Clayton says disclosure sufficiently mitigates some conflicts under Reg BI
SEC chairman says guiding principle should be: 'What would a reasonable investor expect?'
SEC lifts hiring freeze, lowers pay raises
Current employees will be getting pay increases averaging 2.4%, which smaller boost than previous years
Merrill Lynch settles with SEC over ADR trading abuses
Firm will pay more than $8 million for mishandling 'pre-released' ADRs.
The U.S. retirement system is far too complex
In some instances, there are as many as five regulators overseeing 401(k) plans.
SEC fines and censures Talimco for manipulating real estate auction
RIA to pay $325,000 in penalties; former COO Grant Gardner Rogers fined $65,000
