Insurer's stock drops on report the agency is looking at the unit that handles retirement plans for school districts and universities.
Insurer's stock drops on report the agency is looking at the unit that handles retirement plans for school districts and universities.
Crisis management experts say the company is still playing catch-up and bold actions are needed.
Crisis management experts say the company is still playing catch-up and bold actions are needed.
RIAs should know better than not to disclose 12b-1 fees, says Enforcement co-director Peikin.
GPB's chief compliance officer stole information from SEC during its investigation: DOJ.
Chairman Jay Clayton says Reg BI will help them shop around for best price
James Booth of Norwalk, Conn., faces 20 years in prison.
Chairman Jay Clayton says Reg BI will help them shop around for best price
RIAs should know better than not to disclose 12b-1 fees, says Enforcement co-director Peikin.
In a seven-page FAQ, the agency takes a hard line on 12b-1 fees.
In a seven-page FAQ, the agency takes a hard line on 12b-1 fees.
The company believes the move will help advisers compete for business.
Elderly fraud often involves professional firms and companies, including banks, financial advisers, insurers and law firms.
Bill to include expertise, experience criteria faces difficult legislative prospects
Bill to include expertise, experience criteria faces difficult legislative prospects.
Organization seeks more support from members for political efforts.
In the meantime, the organization is checking backgrounds of CFPs one-by-one as they renew their credentials.
Republicans objected, saying it was a move by Democrats to delay Reg BI
In the meantime, the organization is checking backgrounds of CFPs one-by-one as they renew their credentials.
