Fired over a fraud charge, Michael Giokas refused request for information.
BDC reform was tacked onto the $1.3 trillion appropriations bill signed by Trump on Friday.
As part of settlement, bank admits it inflated claims about number of retail orders routed to its dark pool, called "Instinct X."
Groups seek to restore deductibility for advisory fees and expand eligibility for pass-through benefits
Allianz Life Insurance Co. of North America shed the most money on the indexed side, and Prudential Annuities on the variable end, both losing more than $2 billion in sales year-over-year.
Finra barred Matthew Cochran for opening accounts held by 98 customers in trading ruse.
The fiduciary rule may be taken off the books as a result of the ruling, and an SEC fiduciary standard wouldn't cover products not registered as securities
Much hinges on whether the Labor Department appeals the 5th Circuit decision by April 30.
Judge says Howard Present, who led ETF portfolio management firm, was 'reckless.'
It's the fourth time a retirement-plan record keeper has prevailed in a lawsuit scrutinizing fees received from Financial Engines.
CEO Robert Cook says three examination teams may be consolidated.
Firm has settled 13 claims and paid customers of Thomas Alan Meier $2.5 million.
Kenneth Mathieson's one-year suspension for outside activities cut to six months.
Electronic Transaction Clearing censured and will pay $80,000 penalty.
Record payouts relate to information that helped the agency win a $415 million settlement in 2016
Chairman Jay Clayton says 'the sooner the better' when asked when an SEC fiduciary rule will be ready.
ETP industry is reconsidering disclosures at issuance and sale.
Advisers must figure out how state, SEC and insurance regulations will affect their businesses
A much more feasible remedy has recently been put forth by PIABA.
Industry leaders weigh in on the ruling that changed the fate of the Labor Department's fiduciary rule.
