Marco Rubio's proposed bill would increase spending.
As interest rates climb, advisers are forced to rethink the cash management fund links to brokerages and custodians.
The agency's approach allows firms to comply with new guidelines while while tailoring their practices to their own businesses and clients.
NASAA's Operation Cryptosweep has resulted in 47 enforcement actions since its launch in May.
Strategy is an extension of efforts that began due to the DOL fiduciary rule, observers say.
Paige Pierce wins small-firm seat, Janney Montgomery Scott CEO Timothy Scheve takes large-firm seat
Agency orders 'do-overs' following Supreme Court ruling on appointment of in-house judges
A few potential back-up plans exist, but there's a lot you should know before forging ahead
If confirmed by full Senate, Republican would restore commission to full strength until December.
Growing pressure on fees and disclosures drives fund industry limits on C-share investing.
James E. Grimes accused Trustmont Financial of breaching fiduciary duty in a case related to two annuity exchanges and a private REIT.
Boosting the corporate tax rate, eliminating carried interest and modifying the pass-through provision are among the possibilities Democrats are discussing.
Capital Investment Group allegedly failed to supervise an agent who solicited money from clients for his own business ventures.
In all, around 370 advisers sold the Future Income Payments, according to plaintiff's attorneys
Caleb R. Overton raised the money to invest in an S&P 500 ETF but instead allegedly played options and lost all but $34,000 in a little over a year.
Working with a divorcing couple poses challenges, but specialized training programs can help advisers better serve this large market segment.
Top regulator says such incentives prevent brokers from acting in clients' best interests.
Long Island-based group was being paid to promote the stock.
Indexed annuity sales also broke their previous quarterly sales record.
Senator cites 'soft corruption' of revolving door that causes SEC members to kowtow to industry.
