Displaying 10217 results
Philips North America reaches $17 million settlement in 401(k) lawsuit
Excessive fees, as well as the retention of a low-yielding money market fund, were at the heart of the lawsuit.
Finra sheds more light on how it determines fine amounts
A footnote in regulator's settlement letter to Fifth Third outlines factors affecting the size of the fine.
Bond mark-up transparency rule could help investors, cause more work for brokers
New regulation requiring brokers to disclose their markup or markdown on corporate and municipal bonds goes into effect today.
SEC’s Hester Peirce blasts agency for pursuing small infractions
Commissioner says agency's past 'broken windows' philosophy put undue pressure to keep pushing up the number of enforcement actions.
All is not lost when it comes to the mortgage interest deduction
The tax reform law's two significant changes to the way taxpayers deduct interest on loans related to their home both contain exceptions
Iowa insurance regulator cautions SEC about modifying suitability rule
Iowa insurance regulator asserts the current rule is protecting investors and worries that the SEC is defining 'best interest' differently than what it means under state law.
SEC publishes advice rule, sets Aug. 7 comment deadline
The proposal package, filled with questions, is likely to generate hundreds of letters.
CFP Board fights restrictive state licensing requirements
Organization succeeds in removing provision from Louisiana legislation.
Piwowar to resign from SEC
GOP commissioner says he will step down by July 7.
Piwowar departure will complicate action on SEC advice rule
Commissioner set to leave agency July 7, about a month before proposal's comment deadline hits.
Former broker in Philadelphia sentenced to five years in prison
Former broker in Philadelphia sentenced to prison and to pay $886,214 in restitution to clients.
Court ruling aside, for now DOL will rely on fiduciary rule to govern investment advice
Agency says advisers must make good-faith compliance efforts to rely on exemptions
N.J. homeowners get law to skirt Trump’s lowered tax deductions
State will let homeowners declare property taxes as charitable donations.
State-registered investment advisers, mostly one and two-person offices, total 17,688
State securities regulators release first statistical snapshot of sector.
Fiduciary advocates disagree SEC advice rule harmonizes standards
In recent speech, SEC chairman Jay Clayton touted 'consistent, fiduciary principles.'
Gig ruling creates hurdle for employers
California Supreme Court's Dynamex decision could force other companies in the state to rethink their relationship with workers.
Sanctioned Ponzi scheme salesmen keep shilling planning, advice
Two Colorado insurance agents who sold the Woodbridge real estate scheme continue to market themselves as retirement planners
How criminals steal $37 billion a year from America’s elderly
Scammers and even family members target the most vulnerable.
As curtains close on DOL fiduciary rule, SEC advice rule takes center stage
Anti-fiduciary forces may find it easier to challenge the SEC's proposed rule now that the Department of Labor's regulation is all but dead.
Beyond BrokerCheck: SEC adds online adviser search tool
SALI shows whether advisers have a judgment against them in an enforcement action
