Rep ordered to pay $245,000 in fines and restitution; Legend Securities fined $200,000.
Finra says Sandy Galuppo submitted improper reimbursement requests.
Last-minute changes also include restoration of adoption credit and elimination of limits on interest deductions for car dealers.
Bipartisan lawmakers seek to expand the pool of people who qualify to invest in private securities offerings, boost the lending capability of BDCs and ease regulations on closed-end funds.
This month's edition kicks off with the big debut of CleverDome, a next-generation cybersecurity solution.
The defined contribution industry, record keepers and advisers alike, must catch up fast.
Debate rages over whether digital asset is a new currency or risky fad.
Some key differences from House bill include how mortgage deduction and estate taxes are treated.
The $75M agreement ends a years-long class-action trial.
More than 22% of its total adviser workforce is now certified by the wirehouse to act as a fiduciary for retirement plans.
Putting clients in expensive share classes instead of lower-cost ones hurts investors, chairman says.
Software could disrupt model marketplaces and increase value of investment management
Strategic Partners of Kansas oversees 38 advisers.
The Trump administration review is prompting some retirement plan specialists to hold back on implementing parts of the rule that are vague or challenging.
New software kit promises to simplify process of creating artificial-intelligence-powered tools for advisers.
The hedge fund paid a more than $1 million settlement to a woman who had a relationship with the top exec, according to Wall Street Journal report.
The House bill seeks to limit the 25% rate to manufacturers, but will still creates opportunities for strategic tax management.
A Heritage Foundation event was the latest in a flurry of high-level talks about the embattled SRO
Thrivent Financial for Lutherans argues the regulation's class-action provision violates its agreement with clients.
Intuitive Investor platform requires at least $10,000 in assets and has a 50-basis-point fee.
