The changes include higher payroll taxes, larger benefits and a promise of improved customer service
Requiring investors to relinquish their legal rights is fundamentally wrong
Possible SEC involvement could bring more clarity to what qualifies as socially responsible
RIA BlackCrown violated procedure by filing antitrust lawsuit without attorney
A well-seasoned CCO can help transform an RIA by bringing an objective and mindful stance to the typically sales-oriented decision-making at a firm
While some plan advisers talk about shifting their focus, few have changed their business models to reflect this new focus
NAIC leader touts increased protections; consumer advocates say measure falls short
Also censures firm, again, for not paying discounts to eligible customers
New York’s BlackCrown files antitrust suit saying deal would decimate small firms
Finra also fines firm $800,000 for failure to supervise UIT rollovers
Laws and rules passed by state legislators and regulators can have just as profound an impact on our industry as the measures that grab the headlines.
Phillip Frost seeks monetary damages, a halt to the merger and the cancellation of the 2018 transaction
Provision would make it easier for small businesses to form collective 401(k) offerings
Site to weed through Finra and SEC regulatory disciplinary data.
The asset manager’s focus on stock funds in retirement accounts has helped it flourish as peers have struggled
An analyst is forecasting trouble for the wirehouse through next year, with mounting risk as Democrats take aim
State regulators also see trouble in real estate, cryptocurrencies and social media investments
Finra and exchanges say firm’s clients generated more than 50,000 alerts
ETF Managers Group says it will appeal the ruling.
Agency says Keith Springer also tried to hide previous regulatory problems
