The allegations fell under section 36(b) of the Investment Company Act — a strategy that has been unsuccessful for numerous plaintiffs who sue investment managers
The brokerage industry self-regulatory organization says the hike is needed to address structural deficit
On this week's InvestmentNews Podcast, Jeff Benjamin and Bruce Kelly discuss whether financial regs will be affected if Democrats win the election
In a move to enhance oversight of the credentials, new rules strengthen the board’s ability to enforce code of ethics and standards
Numerous other state auto-IRA programs are in development, and the plans should be thinking about drawdown strategies, a report suggests
At the same time, Toronto-Dominion Bank’s acquisition of an ownership stake in the Charles Schwab Corp. was also approved
A review of 45 fee-only advisers by the Institute for the Fiduciary Standard shows only 14 of them mention the term on their website homepages
The firm separated hedges into two buckets, which is a Reg SHO no-no
The agreement opens up access to important tools for consumers, but the FTC is asking for more information about such practices
Corbin Lambert, who ran his own RIA firm, is also affiliated with Securities America according to the BrokerCheck database
Marietta, Georgia-based Lindner Capital Advisors and its principal were also charged with compliance deficiencies
Clifton Curtis Sneed Jr. lied about his credential and criminal past when he pitched high-return investments to church members
The hike Gov. Phil Murphy signed into law moved rates from 8.97% to 10.75% for $1 million-plus earners
RPAs should be concerned because without professional guidance, plan sponsors might think that price is the most important criterion when selecting an adviser
Instead of changing the way taxes on 401(k) plans work, we should build on the bipartisan success of the SECURE Act
Bank will pay the biggest monetary penalty ever imposed by the CFTC to settle claims it manipulated markets in metals futures and Treasuries
The cases are the latest in a busy year for ERISA litigation
Criminals are increasingly gaining access to login credentials by using programs that troll the dark web for usernames and passwords
The commission must consider carefully the interests and needs of all investors
If you’re being yelled at by acolytes of either extreme, then you’re doing it right
