Displaying 3266 results
SEC proposes making it easier to start ETFs
Rule is expected to give exchange-traded funds a boost, but complex products wouldn't be eligible for the streamlined process
Mary Schapiro elected to Morgan Stanley board
Executive has served as the chair of the SEC, Finra and the CFTC
Wells Fargo Advisors fined $4 million over complex product sales
Firm will also pay $1.1 million in restitution after SEC finds improper sales of market-linked securities.
Independence of auditors critical when easing broker regulations
Basically, the legislation would create simplification.
SEC charges insurance agent with $1.27 million Ponzi scheme
James Hocker took money from 25 mostly elderly, unsophisticated investors.
It’s official: DOL fiduciary rule is dead
The 5th Circuit Court of Appeals issued a mandate Thursday making its March 15 decision to strike down the regulation effective.
Supreme Court curbs SEC administrative law judges
'Buckets of Money' adviser Raymond Lucia is entitled to a new hearing, court rules.
Supreme Court ruling on SEC judges unlikely to upend advice industry
But it could give rise to new hearings for some advisers who are already in litigation with the agency such as Dawn Bennett.
Clayton defends SEC advice rule amid congressional grilling
Reps. Maxine Waters, Carolyn Maloney express concerns that measure is too weak.
Pastor and pal indicted over fraudulent financial planning
Larry Holley and Patricia Gray are defendants in parallel SEC civil action.
SEC charges eight in $102 million Ponzi scheme
One defendant allegedly used some of the stolen money to commission a song about himself and had it played at a Las Vegas nightclub.
Merrill Lynch fined $42 million for misleading customers
In addition to the practice of 'masking' trades, the wirehouse went to extremes to cover up the wrongdoing.
Should investment advisers be put on a pedestal when it comes to advice standards?
Former SEC chairwoman Elisse Walter says their fiduciary duty is largely about disclosing conflicts, not eliminating them.
Senate Democrats call for investigation of SEC’s Piwowar
Senators cite reports that the outgoing commissioner pressured Citigroup officials over the bank's decision to limit business with gun firms.
SEC advice rule: Industry, investor advocates split
At SEC meeting, both sides say agency must better define what 'best interests' means.
RIA sentenced to 57-month prison term for theft barred by SEC
Eric Erb was ordered to pay restitution of $5.4 million to his defrauded clients.
Crypto coins surge on SEC reprieve
Regulator says transactions involving ether aren't subject to federal securities rules
SEC rule proposal doesn’t include 401(k) sponsors in ‘best interest’ advice
Plan sponsors are left out of the equation because they don't appear to fall within the definition of "retail" investor, legal experts say.
SEC proposal will curb brokers putting clients into products solely for highest revenue, Clayton says
At investor town hall in Atlanta, the agency's head urges clients to press advisers on fees
Merrill Lynch ordered to pay $15 million to settle mortgage securities charges
SEC says firm employees misled customers into overpaying for RMBS debt.
