Displaying 10200 results
Sutter Health hit with second lawsuit over $3.7 billion DC plan
The class-action cases point to allegedly excessive investment management fees
Outspent by Wall Street, investor advocates focus on educating lawmakers on advice issues
One goal is to fortify Democratic opposition to Reg BI
How a Biden win in November reshapes investment advice rules
Democrats scrapping the Trump administration’s reforms hinges on who’s picked to lead the SEC
Retirement advisory firms must adapt or face attrition
National aggregators are forcing independents to act
ESG could thrive in 401(k) plans, despite DOL rule
Even as the regulator moves to stem the funds in retirement plans, there are ample opportunities, according to speakers at the NAPA 401(k) Summit
SEC settles with charter-school operator over muni bond offering
The agency said Arizona’s Park View School misled investors about its financial condition
From new normal to new paradigm
How half a year of quarantine has affected the financial services industry
Enforcement, arbitration proceedings move online
Taking testimony, conducting depositions and hearings remotely gains acceptance
Home office deduction limited to self-employed
Working from home during COVID-19 might not qualify for a tax break
Keeping an eye on chats
The pandemic creates cracks in how firms oversee advisers’ communications with clients
Brokerages push to extend delay of on-site inspections
Remote oversight is starting to change the concept of supervision
Closed B-D means more unpaid investor claims
Capital Financial Services is shutting down, leaving clients on the hook
Former Stifel broker ordered to pay $385,536 for fraud
SEC complaint charged Steven Rodemer with stealing funds from elderly client
Texas revokes license of rep for Woodbridge Wealth sales
Kim Diane Butler breached fiduciary duty by receiving $300,000 in commissions on the sales
401(k)s were considering annuities — then COVID-19 hit
The pandemic has shifted plan sponsors' priorities, according to a survey from T. Rowe Price
Until Reg BI enforcement starts, we’ll have to take brokers’ word it’s working
Or you can rely on state securities regulators to provide data about advice reform
Congressman wants to slow mutual fund fee litigation
Plaintiffs would face a hurdle in filing 36(b) claims against fund providers
RMD return relief is over
Here are the rules on IRA rollovers that apply now that the Aug. 31 deadline for using the IRS relief has passed
SEC orders advisory firm to pay $356,580 over fee disclosures
Signature Financial Services is the latest adviser to be caught in the regulator's 12b-1 fee dragnet
ERISA lawsuit filed against Nvidia; suit against Cornell settled
Law firm Capozzi Adler filed its latest 401(k) suit and Schlichter Bogard & Denton reached a deal in a case against an Ivy League school
