Coordinated exams also show deficiencies in books and records, contracts and fee-related matters
The enforcement action demonstrates the agency's continued targeting of conflicts over fund fees
USO's sale of June WTI futures contracts triggered a big move in the spread between the June and July contracts
Ed Slott discusses whether clients who already took required minimum distributions this year can put that money back in light of the CARES Act
The coronavirus recovery bill allows for the full deduction of your donation up to your adjusted gross income
CEO Robert Jesenik and other firm executives were barred and penalized
The website tried to steal information by claiming to protect investors
President Trump is scheduled to sign the $484 billion coronavirus stimulus package Friday
Under its proposed rule, BrokerCheck and the SEC's database would display the same information on dual registrants
Mitch McConnell's comment came as Congress considers extending aid to cities and states that are seeing tax revenue disappear as wide swaths of the economy are shut down
Ed Slott clears up questions about how the CARES Act will affect required minimum distributions
Somerset Securities recently filed a case against the insurer over its 2018 decision to halt trail commissions on certain variable annuity contracts
Plan sponsors will need to amend their plans to cover the CARES Act changes that they decide to implement
Unless it's a matter of business survival, the strings attached to the loans might prove even more costly
Former adviser Barry Bekkedam will pay a $100,000 fine plus interest
NASAA model rule would require IARs to complete CE to close the regulatory gap with brokers
Ed Slott separates fact from fiction about how the CARES Act will affect clients’ retirement savings
Lester Burroughs allegedly misappropriated more than $500,000 from clients' accounts
The investment firm will pay $12.5 million to put a 2015 case behind it, court records show
Regulator says Old Ironsides distributed materials with misleading information
