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Brokers, tell the B-D when selling cannabis investments
Don't risk letting your career go up in smoke
State fiduciary rules slow down amid pandemic, political transition
Efforts to implement fiduciary rules in New Jersey, Nevada and Massachusetts are in limbo
Trump administration pushes regulations across finish line in waning days
DOL rules affecting investment advice and the use of ESG factors may be vulnerable under Biden
Robinhood under pressure for bringing ‘gamification’ to investing
The free trading app has been applauded for democratizing the market but critics, and regulators, are starting to take a closer look
What advisers need to know about the new DOL rule
The new interpretation on the definition of advice has some benefits for plan advisers, and it will be in place even if the rule is halted
Finra slams Cetera with $1 million fine over RIA supervision
The shortcomings were related to supervision of some dually registered reps, according to the regulator
Robinhood case to test Massachusetts fiduciary rule
But an investor advocate praises the state for targeting conduct other than outright fraud
Robinhood to pay $65 million to end SEC probe into stock orders
Online broker allegedly failed to properly inform clients that it sold their stock orders to high-frequency traders and other financial firms
Robinhood accused of manipulating customers by Massachusetts regulator
The complaint marks the first time the state's fiduciary rule is being used to bring charges against a brokerage firm
DOL may be too late with final fiduciary rule
The rule's effective date falls after the Biden administration comes into power, meaning its ultimate fate remains unclear
Morgan Stanley loses appeal of $3.3 million award
The U.S. Court of Appeals affirms an earlier ruling against Morgan Stanley in a case regarding the sale of Puerto Rico bonds
House lawmakers introduce legislation to promote sustainable investing
The measure, led by Rep. Andy Levin, would require advisers to consider environmental, social and governance factors in investment decisions
DOL limits retirement-plan proxy votes to those affecting financial returns
The move could curb shareholder actions related to sustainable investing
SEC member Crenshaw says agency should provide guidance on Reg BI
Democratic commissioner says the SEC should define ‘best interest,’ clarify conflict mitigation related to Reg BI
SEC enforcement chief Stephanie Avakian leaving
Marc Berger, the enforcement unit's deputy director, will serve as acting chief, the agency says
Lawmakers want SEC to clarify how brokers can hold digital securities
The lack of guidance on custody is slowing the adoption of cryptographically based assets, experts say
401(k) lawsuits explode in 2020
New cases were filed against employers, and insurers have tamped down limits on fiduciary liability coverage
SIFMA wants new SEC to give Reg BI time to work
The major financial industry group said the current agency has vowed for tough enforcement of the rule
Protecting independent contractor status for advisers
Proposed Labor Department amendments to the Fair Labor Standards Act and pending legislation in the Senate are the latest challenges in this area
Maxine Waters urges Biden administration to overturn Reg BI
The Chair of the House Financial Services Committee also targeted rules surrounding opening up private markets
