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Oklahoma pulls back Form CRS mandate for state-registered advisers
Rhode Island keeps its requirement on the books
Former RIA execs to pay $200,000 for misleading clients
Benjamin Alderson, the former CEO of deVere USA, also agrees to a permanent bar
House funding bill would halt SEC proposal to expand access to private markets
Democratic legislators want the agency to collect data on the impact of promoting unregistered securities
Where are the customers’ yachts? 2020 version
Should advisory firms take forgivable PPP loans when they didn't suffer any interruption in their revenue?
DOL urged to extend comment period for fiduciary proposal
Consumer and investor advocacy groups have asked Labor to provide more time for public input
CareerBuilder gets win in 401(k) lawsuit, others face new claims
Paychex, Astellas and Aon were recently sued, and the $12.4 million settlement in a Northrop Grumman suit has been held up
Finra officials delineate ‘good faith’ efforts to comply with Reg BI
Initial reviews will focus on whether firms have put in place policies, procedures and training
State regulators propose model rule for advisers’ written policies, procedures
The measure would cover supervision, cybersecurity and business continuity, among other areas
Why 2020 is a bad year to turn 60
COVID-related job losses this year could reduce Social Security benefits for millions of people born in 1960
Franklin Advisers, Franklin Templeton agree to SEC penalties of $325,000
The firms exceeded the 10% cap on a fund manager investing in another investment company
‘Lost and found’ 401(k) bill resurfaces
The Treasury would build a national account-tracking system, under bipartisan legislation co-sponsored by Sen. Elizabeth Warren
SEC rule resets regulatory landscape
Reg BI should serve as a ‘true north’ for state officials and other regulatory agencies that are working on their own standards
Will ESG be allowed in 401(k) plans?
Senior reporter Mark Schoeff Jr. joins senior columnists Jeff Benjamin and Bruce Kelly for the latest episode of the InvestmentNews Podcast.
401(k) lawsuit costs Fidelity $28.5 million
The settlement resolves a class-action case that alleged the firm breached its fiduciary responsibility to plan participants
State regulators propose restitution assistance for harmed investors
NASAA based its model rule on measures in place in Indiana, Montana, Vermont, Kansas and Maine
401(k) suits target Trader Joe’s, Costco, others
Litigation alleging that plan sponsors breached their fiduciary duty keeps coming
Finra reports 10% rise in 2019 compensation
The regulator warns broker-dealers of a gradual move to increase fees
Court orders RIA firm and founder to pay more than $2 million
SEC case charged that Connecticut-based Temenos Advisory put investor money at risk and concealed high commissions
Edward Jones files to create bank
The broker-dealer's Utah-chartered industrial bank could open in 2021
Firms, regulators, plaintiffs’ bar set to determine whether Reg BI protects investors
The SEC's new broker advice standard must be implemented Tuesday
