The legislation 'has legs' given that retirement policy debates will be front and center in Congress next year.
Proponents hope bill will be re-introduced early next year.
The 13 additional unregistered brokers sold more than $350 million of the Ponzi's notes
Regulators are making inquiries into GPB and the broker-dealers that sold their fund shares, according to sources.
The DOL hasn't issued concrete guidance on the issue, but there are hints on how to avoid trouble.
Peter Cho traded derivatives after eavesdropping on conversations about an upcoming deal.
Wirehouse joins handful of other firms seeking to prevent insurer from cutting off flow of adviser trails.
Securities and banking regulators are continuing to focus on anti-money laundering procedures and policies.
States looking for potential partnerships to increase retirement-plan coverage
Learn how an advisor made the transition to independence with an abundance of resources and guidance before, during and after the move.
The ghost of Eva Weinberg's actions continue to haunt the wirehouse
Hector May, 77, president of Executive Compensation Planners Inc., defrauded 15 clients with the help of his daughter.
Strategies around charitable giving and business structures appear to be most prevalent as a result of the new regime.
To keep up with evolving regulatory requirements at the state and federal levels, Finra sees "regtech" tools like RIA in a Box becoming more popular.
PIABA suggests brokerages fund a pool or Finra pay for shortfalls with fines, while FSI asks regulators to ban offenders from all corners of industry.
Plaintiffs alleged the brokerage predominantly used funds in its 401(k) plan that furthered its own business interests at the expense of employees.
The industry is lobbying to include a measure forcing the SEC's hand in Congress' end-of-year spending bill.
SEC chairman refuses to give specific time line for final advice-reform rule, but says it's a priority.
The broker recommended that a customer open an account away from Securities America.
