Trump will likely name either Hester Peirce or Elad Roisman — the SEC’s Republican commissioners — as acting chairman
The SEC's rule, which represents the first update to advertising regulations since 1961, presents potential opportunities and dangers
A CARES Act provision that encourages companies to repay their workers' student loans would be available for another five years
Julie Ann Moskin and Retire Happy received fees for selling dubious securities, according to Massachusetts Secretary of the Commonwealth William Galvin
Taking time off to have a child, care for a family member or provide home schooling amid the pandemic can derail a career in finance.
Blass led the division’s work on updating rules for ETFs, BDCs and closed-end funds
Guests at the RPA Convergence Broker-Dealer Roundtable and Thinktank say it might be a while before annuities are used in many plans.
Ralph Hamers is caught up in an investigation of money laundering that occurred while he headed ING Groep
Agency says advisers, brokers must apply ‘heightened scrutiny’ to sales of risky ETPs
The agency accused them of misleading investors in XRP, the world's third-largest cryptocurrency
Revision of the advertising rule in place since 1961 reflects technological advances like social media marketing, according to the regulator
The wealth manager will become one of the last major institutions to offer digital advice with the launch slated for Q1
The use of new technologies and solutions will mean fundamental shifts in the financial services industry
A small section of Tuesday's spending bill will help some employers avoid partial plan terminations
The trade group files a comment letter with the SEC with suggestions on how to modernize disclosures
The new fund designed for wealthy investors will be seeded with $20 million
The conflicts of interest ranged from 12b-1 fees to cash sweep accounts to alternative investments
The sale is part of CEO Charlie Scharf's effort to focus the bank on key businesses
Industry consolidation, financial wellness, data and new ways to work in the pandemic reality were among things on attendees' minds at the latest RPA event
COVID-19 slowed down but did not halt the flow of advisers fleeing wirehouse firms for the independent channel
