Finra also fines firm $800,000 for failure to supervise UIT rollovers
Fund closures spiked this year at the same time that asset managers set up the fewest new ETFs since 2014
Phillip Frost seeks monetary damages, a halt to the merger and the cancellation of the 2018 transaction
The changes will go into effect Feb. 28
Provision would make it easier for small businesses to form collective 401(k) offerings
Site to weed through Finra and SEC regulatory disciplinary data.
An analyst is forecasting trouble for the wirehouse through next year, with mounting risk as Democrats take aim
Finra and exchanges say firm’s clients generated more than 50,000 alerts
Agency says Keith Springer also tried to hide previous regulatory problems
Here are the most-read InvestmentNews stories of the year
Transamerica study warns that 'leakage' from plans could threaten retirement
These philanthropists are changing their approach to charity to ensure a bigger impact
The measure will have wide-reaching effects on retirement and estate planning for most people
Machines are doing a lot more of the work and investors are piling into passive funds.
Insurer's policies for locating annuity customers resulted in errors in accounting for reserves, SEC says.
Christopher Stanford and Matthew Douglas are joining the employee unit
Clients likely will want to reduce tax burden on inheritors given law's limits on 'stretch IRAs'
Intelligent Income will help manage withdrawals across an investor's retirement accounts.
One possible way to improve the solvency of the Social Security system is to boost the amount of earnings subject to the payroll tax.
