Democratic legislators want the agency to collect data on the impact of promoting unregistered securities
Should advisory firms take forgivable PPP loans when they didn't suffer any interruption in their revenue?
Consumer and investor advocacy groups have asked Labor to provide more time for public input
Paychex, Astellas and Aon were recently sued, and the $12.4 million settlement in a Northrop Grumman suit has been held up
Initial reviews will focus on whether firms have put in place policies, procedures and training
The measure would cover supervision, cybersecurity and business continuity, among other areas
COVID-related job losses this year could reduce Social Security benefits for millions of people born in 1960
The firms exceeded the 10% cap on a fund manager investing in another investment company
The Treasury would build a national account-tracking system, under bipartisan legislation co-sponsored by Sen. Elizabeth Warren
Reg BI should serve as a ‘true north’ for state officials and other regulatory agencies that are working on their own standards
Senior reporter Mark Schoeff Jr. joins senior columnists Jeff Benjamin and Bruce Kelly for the latest episode of the InvestmentNews Podcast.
The settlement resolves a class-action case that alleged the firm breached its fiduciary responsibility to plan participants
NASAA based its model rule on measures in place in Indiana, Montana, Vermont, Kansas and Maine
Litigation alleging that plan sponsors breached their fiduciary duty keeps coming
The regulator warns broker-dealers of a gradual move to increase fees
SEC case charged that Connecticut-based Temenos Advisory put investor money at risk and concealed high commissions
The broker-dealer's Utah-chartered industrial bank could open in 2021
The SEC's new broker advice standard must be implemented Tuesday
Other big banks are maintaining their dividend payments in the wake of new Fed restrictions
From multifunctional dashboards to an increase in demand for robo-advisers, the industry’s appetite for innovation has only increased with new regulation
