Let's call out these plans for what they are
Lee: 'There are opportunities to make it strong, and we have to seize them early'
Agency wants Lester Burroughs, a rep at Lincoln Investment Planning, to disgorge gains.
CEO Bentsen says states should defer to SEC's Regulation Best Interest.
But the SEC's proposal would require brokers to assess whether investors understand the risks — which might discourage firms from offering the products.
Advisers must act without regard to compensation, but 'best available option' language excised.
Webcast panelists recommend starting what could be an expensive and time-consuming process sooner than later.
Advisers will need to be well-versed on the details before starting an aggressive marketing campaign.
Bay State, New Jersey regulations could set standard for other states
Ronald J. Roach concocted financial statements to show revenue at solar energy company.
Regulator's actions can serve as a model for the SEC and others on incorporating industry feedback to improve regulatory programs
The agency published answers to four questions about Form CRS.
Unregistered Brett Pittsenbargar sold $18 million of fraudulent paper to at least 45 investors.
The agency, concerned about consumer protection, says clients need a baseline understanding of product risk
Critics say the proposal falls well short of what is needed to address unpaid arbitration awards.
Some stakeholders say the disclosure proposal is still paper-centric and should take into account newer technologies.
Agency said Conrad Coggeshall raised $700,000 from four investors that he claimed was going to be invested in an M&A firm.
Toni Caiazzo Neff says she has been followed, had car tampered with.
Samuel DelPresto and his MLF Group ran 'pump-and-dump' microcap scheme
Vereit Inc. agreement follows $1 billion litigation settlement in September
