Academics encourage agencies to boost their digital exam tools now, before automated platforms get even bigger.
Broker-dealer self-regulator reports that fines increased to $173.8 million in 2016, up from $93.8 million in 2015.
Mr. Block last year pleaded not guilty to charges, including conspiracy and securities fraud, stemming from accounting at the REIT once controlled by Nicholas Schorsch.
Some believe the Connecticut law could be a springboard to reform among other states.
Attempts to suspend benefits can have disastrous results.
Complex rules govern who gets what and when.
Agency sets 15-day deadline for input on delaying Jan. 1 applicability date and 30-day deadline for suggestions for substantive revisions.
Interest in fiduciary-related fintech previously cooled following the election of President Donald J. Trump.
It makes no sense to post on social media and never measure its impact. Here's how to do it right every time.
Men describe their knowledge of how credit scores work as good or excellent, but how accurate are they?
Claimants asserted firm was negligent and breached its fiduciary duty.
Plaintiffs claim practice of charging plans a percentage of assets is unreasonable.
The plaintiff claims the company only offered one unaffiliated investment option during the class period, resulting in excessive fees for participants.
Custodian ramping up its digital-platform offerings in race to accumulate assets.
Only one plan was assessed positively as both an investment and a savings vehicle.
Assessment also evaluates growth and transferability potential.
In separate appearances before Senate panels, the regulators stressed the cooperation that Republican legislators and opponents of the DOL fiduciary rule are demanding.
SEC chairman acknowledged that tighter budgets would require increased efficiencies to meet examination goals.
Americans are more likely to choose debit cards for routine purchases.
The HEART Act permits rolling all or part of life-insurance and combat-related-fatality payouts directly into the tax-free retirement plan, but few take advantage.
