Displaying 10200 results
SEC charges RIA with insider trading
Former NFL player Jack Brewer allegedly used nonpublic information to sell shares in COPsync
Senate confirms Peirce, Crenshaw as SEC members
Peirce was reappointed to a Republican seat; Crenshaw fills a Democratic slot
DOL denies requests to extend comment deadline on advice proposal
Sen. Murray says agency is ‘charging ahead recklessly’ and could cost retirement savers billions
Senate committee approves SEC nominees Peirce, Crenshaw
The pair now head to the Senate floor for a confirmation vote
Retirement worries keep rising: Reports
There will be long-term financial fallout for some workers, and plan sponsors and advisers should be talking with them
SEC proposes increasing transparency of mutual fund, ETF reports
Regulation would require ‘concise, visually engaging’ shareholder reports that help investors understand fees, risks and performance
Secure Act’s pooled employer plans a dramatic change for 401(k)s
The COVID-19 crisis will make some employers more open to PEPs, but the recent hit to the economy could mean slow uptake for those plans
Trade association pushes retirement savings provisions for next COVID relief bill
The Insured Retirement Institute calls for raising RMD age, allowing catch-up retirement contributions
Princeton settles DC lawsuit for $5.8 million
Plaintiffs in the class-action case alleged the school's retirement plans had high fees and poorly performing, restrictive investment options
House approves funding bill with provision to kill SEC’s private markets proposal
Advocates for alternative investments oppose the provision, which is not likely to survive in the Senate
Merrill, Fidelity sign injunction over client data
An adviser who recently left Fidelity allegedly used client data from his former job to contact prospects
Brokerage, insurance firms raise concerns about DOL advice proposal
The rewrite of the vacated Obama fiduciary rule also draws criticism from investor advocates
DOL’s ESG proposal gets over 1,500 responses
Many comment letters voiced opposition to the rule, stating that the proposed restrictions within 401(k)s would hurt investors and could lead to more lawsuits
Finra eases rules on expensing meals amid pandemic
Firms can classify meals as entertainment costs even if the get-together is happening online
Number of B-Ds, reps registered with Finra falls again
Firms registered with the broker-dealer industry regulator saw their revenues and profits rise last year
RMD relief is here — but only until Aug. 31
Act now to return unneeded required minimum distributions taken prior to the CARES Act
Securities class-action suits declined in first half
‘Core’ suits, which don’t involve M&A, totaled 117
Don’t look a gift horse in the mouth
The DOL's proposal on using ESG investments in retirement plans could remind advocates of sustainable finance of the work still to be done
SEC warns Form CRS falls short but doesn’t prescribe fixes
Compliance experts advise making potential conflicts clear, avoiding small print
Powell says economy still needs help from fiscal policy
The Fed chairman described the path forward as 'extraordinarily uncertain'
