Taking testimony, conducting depositions and hearings remotely gains acceptance
Working from home during COVID-19 might not qualify for a tax break
The pandemic creates cracks in how firms oversee advisers’ communications with clients
Remote oversight is starting to change the concept of supervision
Capital Financial Services is shutting down, leaving clients on the hook
SEC complaint charged Steven Rodemer with stealing funds from elderly client
Kim Diane Butler breached fiduciary duty by receiving $300,000 in commissions on the sales
The pandemic has shifted plan sponsors' priorities, according to a survey from T. Rowe Price
Or you can rely on state securities regulators to provide data about advice reform
Plaintiffs would face a hurdle in filing 36(b) claims against fund providers
Signature Financial Services is the latest adviser to be caught in the regulator's 12b-1 fee dragnet
Law firm Capozzi Adler filed its latest 401(k) suit and Schlichter Bogard & Denton reached a deal in a case against an Ivy League school
Steven Brown of Alpha Trade raised approximately $7.5 million from investors
The West Virginian is being charged with fraud in $5.2 million securities offering
Most people have not stopped saving for retirement, but more are saying they will stay on the job past the traditional retirement age
Fiduciary status test draws criticism for creating loopholes, casting net too widely
Regulator said to be looking at whether the online broker properly informed clients that it sold their stock orders to Wall Street firms
The new president plans to focus on SEC’s exempt offering framework, diversity and inclusion issues
Firms will pay $1.4 million in restitution to about 100 clients and fines of $675,000
The Investment Adviser Association wants discretionary clients of fiduciaries to be accredited
