Surges by the political outsider, as well as by liberal insurgent Bernie Sanders, should make the investment advice industry sit up and take notice
SEC said to look into trading in a single security in 2010
But for all their charm, ETFs are an increasing concern to regulators
The American Securities Association aims to tackle 'Washington's one-size-fits-all approach to industry regulation' it says harms Main Street firms.
Will a prolonged fight over who gets to fill the seat of the late Justice Antonin Scalia impact the confirmation of two Securities and Exchange Commission nominees?
<i>Breakfast with Benjamin</i> The collapse of alternative investments platform Aequitas Capital Management continues to unfold, while investors and advisers are kept in the dark.
The Democratic presidential candidate is getting pummeled over the money she's receiving from the financial industry. But at least one of Ms. Clinton's positions shows you can't always follow the money.
Retirement plan advisers should make sure they have their bases covered to prevent litigation for fiduciary breaches.
The agency next week will consider changes to the process by which it tries enforcement cases before in-house judges.
Federal judge, who issued similar ruling in August, says agency could solve the problem easily.
The Massachusetts senator and Rep. Elijah Cummings, D-Md., assert four large insurance companies are telling regulators and shareholders different tales.
They agree with intent of possible legislation, but worry about compliance costs.
Organizations opposed to the fiduciary rule invested more in Capitol Hill outreach efforts last year, trying to convince Congress to stop the measure.
Agency to lean more heavily on Finra as SEC shifts some of its own resources toward registered investment advisers.
The regulator must find a way to increase the productivity of its examiners
Clients need to be sold on the idea of saving for retirement, and needing advice on retirement investments
The self-regulatory organization is continuing its recent push to hold broker-dealers accountable for the suitability of product sales.
Finra ordered a dozen firms to pay restitution and fines totaling $6.7 million for failing to give clients discounts for large purchases of unit investment trusts.
Fines, levied in July and August, top $500,000; Voya Financial takes biggest hit
The measures, which affect 401(k) and IRA limits and beneficiary withdrawals, have been proposed in previous budgets to no avail, but still worry financial industry groups.
