Republicans want tax breaks for private equity, manufacturers and businesses, while Democrats want to expand the child tax credit.
A seminar offers some insight into what the agency is looking for in firms' compliance with Reg BI and the marketing rule.
Hedge fund Impactive Capital is threatening a proxy fight in an effort to secure a seat on Envestnet's board.
'This past fiscal year, we sought to recalibrate penalties to more effectively promote deterrence,' said SEC enforcement director Gurbir Grewal.
While some claim more regulatory clarity could have helped prevent an event like the FTX collapse, others argue new rules take time and might not be what investors are hoping for.
Ireland combines a highly educated population with economic opportunity, which has resulted in the country being ranked as one of the best places to live in the world.
The securities watchdog’s order asserted that the rating of a mortgage-backed security deal in 2017 was at issue.
A team of four advisers in suburban New York is making the switch.
Changing regulations are combining with technology to potentially push $10 trillion into alt strategies by 2030.
Though 58% of the advisers and executives surveyed classified their technology as 'modern,' 65% reported losing business because of outdated software.
For those considering moving to a foreign country when they retire to stretch their savings, here are the top locations.
The organization is continuing to update its enforcement procedures to align with the revised code of conduct that went into force in 2020.
Over the past 12 months, the company's shares have fallen from a high of $10.55 to Monday's price of $1.03.
Crypto bulls see the sell-off as a buying opportunity and distinguish the offshore platform from regulated funds and U.S.-based platforms.
Tim Truebenbach will open an office for the LPL Financial unit in Tacoma, Washington.
Chuck Fuller and Brian Carney, co-founders of Tulsa-based Bridgecreek, will join Hub Mid-America with their team.
The one-year drop in premiums does not offset the overall inflation in health care costs.
A roundup of the week's top fintech news, including crypto's collapse, Envestnet's custodian plans and SEI adding UMAs.
Regardless of whether you connect with clients in person or virtually, the fundamentals of establishing relationships and building trust remain the same.
But a former SEC official told the audience at the ComplyConnect conference in Austin not to expect the agency to be lenient in initial exams.
