The regulator sued five BitConnect promoters in May for their roles in promoting the scheme by creating testimonials on YouTube, sometimes multiple times a day.
The agency is considering more stringent disclosure requirements for investment funds amid concerns that some fund managers are making unfounded ESG claims.
The conference, originally scheduled for Oct. 20-22, will now take place on May 4-6, 2022 at the Aria in Las Vegas. The move follows other recent postponements of tech-related events.
ESG ETFs have investments related to solving social issues in the country such as racial disparities and better health care.
Paige Pierce, chief executive of Bley Investment Group, emphasized updating the Finra rulebook during her campaign. Timothy Sheve, chief executive of Janney Montgomery Scott, and James Crowley, chief executive of Pershing Advisor Solutions, also were elected to the board.
The former lieutenant governor of Maryland has been one of the driving forces in that state's forthcoming auto IRA program.
Loh served as vice president of digital advice and innovation and oversaw the Intelligent Portfolio automated advice platform at Schwab. The hire emphasizes the bank’s recent push to utilize technology offerings to serve the mass affluent market.
Researchers have raised questions about the credentials of money managers who claim they are marketing funds designed to address the climate crisis and social injustice.
Plan sponsors are clamoring for solutions to help employees with their financial issues. Student loans and emergency savings programs are two easy, simple and impactful ways that the DC industry can help.
The six-adviser team at TBT Financial Services is based in Tyler and Longview, Texas
Brenner Wealth Management Group is based in Santa Barbara, California.
Luma Financial Technologies' new tool, Luma Compare, lets advisers compare a variety of products.
Here are the top four lessons I walked away from the Olympics with and that I will strive to instill in my team.
The SEC says Dean Tellone and his California firm hid information from mortgage investors.
Treating clients as we would our dearest friends is not only the right thing to do, but tends to result in a lot of referrals from happy, well-cared-for clients.
Regulators are privately signaling that they're still not satisfied with the bank's progress in compensating victims and shoring up controls.
The 2021 Trustees Report shows the trust funds will run dry in 2034 as a result of the economic fallout from the pandemic.
The agency could be on the path toward clarifying whether online trading platforms are giving investment advice. The examination will also consider potential conflicts of interest between brokers and investors.
The average account balance was more than $348,000, up from nearly $287,000 a year prior, according to a new study. Brokerage accounts are favored by investors who want to be more active in managing their retirement assets.
The payments giant enters a competitive but flourishing marketplace for online brokerages as it evolves its app to enable millions to trade individual stocks. PayPal currently has approximately 400 million users.
