A bill introduced by Rep. Angie Craig, D-Minn., faces long odds this year, while the prospects for broader reform of the program depend on the outcome of November's election.
Compared with general shareholder votes, defined-benefit programs were much more likely to support resolutions around ESG governance and worker protection.
The executive, who had been senior adviser to Finra CEO Robert Cook, will spearhead regulatory integration.
Anthony Mona and Joseph Mansoor make the switch in Birmingham, Michigan, through OSJ Spartan Wealth Management.
Denizens of the metaverse can be ripped off by virtual investments, the North American Securities Administrators Association said in an advisory.
While the current economy is causing uncertainty and jitters, it’s also encouraging participants to act more like institutional investors.
Riskalyze Ultimate combines two existing products, Command Center and Riskalyze Elite, to bring compliance and business development together.
The RIA specializing in public-sector retirement plans is working with Stadion on participant-level personalization and using EPIC's record-keeping platform.
The two investment banks both told staff that they will lift some of their remaining Covid-19 mitigation efforts after the Labor Day weekend.
Gregory Lindberg and Christopher Herwig allegedly misappropriated $57 million in client funds, while their firm collected more than $21.4 million in advisory fees in connection with these schemes.
As clients consider the different types of coverage, they need to ask the correct questions and observe sign-up deadlines.
The economics are attractive right now, and many advisers see a better future for virtually everyone involved if they join forces with a larger firm.
The agency charged the firm with failing to monitor whether wrap-fee accounts were in the best interests of clients who did little trading.
With the guidance of a well-informed financial professional, homeowners and investors can potentially tap into the value of their homes and be in a stronger liquidity position as the economy recovers.
Financial advisers will receive advanced training on integrated practice management platforms.
A Finra arbitration panel said the firm owes Shlomo Salant compensation for 2014, the year he reached a settlement with the Commodity Futures Trading Commission for allegedly faking market interest in futures.
A quarter of plan participants now prefer to receive 401(k) account information via email, up from 9% in 2020, according to Cerulli Associates.
Thirteen states have tax laws that would treat forgiven debt as income, meaning it's subject to state levies on earnings.
The bank won’t be part of the underwriting syndicate for transaction after state Comptroller Glenn Hegar included UBS on list of firms he deems “boycott” the fossil-fuel industry.
In the newly created position, Michelle Kelley will lead the firm’s legal department and provide counsel on cybersecurity and privacy laws.
