The agency has for months been probing whether Binance illegally sold digital coins as the exchange was getting off the ground in 2017.
Miami-based Eva Marina Ovejero has more than two decades of experience.
Amy Lawrence is launching Gorilla Investments Co. in Miami.
While the rules for claiming Social Security will get a bit simpler starting in 2024, clients will continue to need advice on the best time to claim benefits.
Richard Ina will open an office for the firm in the Nashville, Tennessee, area.
When it comes to retirement planning, the idea of crunch time takes on an entirely different meaning.
Park Avenue Securities fell short in its supervision of a rep who helped operate a cannabis business, the regulator says.
The 63-36 vote on the bill Thursday night was carried by moderates in both parties; the legislation now goes to President Biden to sign.
The legislation seems to strike a balance between concerns about allowing ordinary investors to buy private placements and creating opportunities for them to diversify their portfolios.
Investor harm is occurring among so-called sophisticated investors, and strong guardrails must be put in place if access to unregistered securities becomes easier for retail investors.
Barry Simmons is at least the third senior wealth management executive Wells Fargo has hired in the last few years from JPMorgan.
Kristie Edling-Day will oversee digital experience for advisors, while Nitesah Ambastha will lead technology for investors.
The legislation would force the SEC to calibrate compliance costs for small and growing businesses, including advisory firms.
Banks' interest is growing in the evolving technology of artificial intelligence and its likely impact on their business.
Mary Beth Franklin's show on Maryland Public television will offer guidance not only for individuals currently nearing retirement age, but also those caring for aging relatives or facing changes in their marital status.
Forty-two percent of the young adults surveyed say they’re living paycheck to paycheck, and only 33% say they could handle an unexpected major expense.
The deal now heads to the Senate, where approval is virtually certain; Senate GOP leader Mitch McConnell said the measure could be voted on as soon as Thursday.
The bank aims to almost double its profit from wealth management through asset growth, more lending and expanding markets, co-president Andy Saperstein said at a conference.
The state is poised to go much further on emissions reporting than the Securities and Exchange Commission.
Shah, formerly CEO of Personal Capital, will replace Larry Raffone, who will transition to become chairman of the board.
