Failure to supervise rep's efforts to woo elderly costs firm $125,000 in Massachusetts.
State would require products best suited for clients to be sold over those most profitable to sellers.
Finra says Bear Stearns' flawed system led to securities segregation issues
John James informed the regulator that he would not give testimony during its investigation into Merrill's allegations.
The bill slashes the corporate tax rate to 21% from 35% and cuts individual tax rates across the board.
SEC and Finra say firm failed to implement reasonable anti-money laundering procedures.
Organization showcases support from pro-fiduciary consumer groups, but not everyone is on board.
Senate confirms Preston Rutledge to key Labor Department role, while Hester Peirce and Robert Jackson Jr. join SEC as commissioners.
The current environment is one step along the continuum toward transparent pricing in alternative assets.
Regulator said firm's review system was 'flawed in significant respects.'
Compliance experts say the changes would focus enforcement on investor harm.
LPL was deemed liable for not supervising the broker, Charles Fackrell, who has been sentenced to five years in prison for defrauding clients.
Broker-dealer regulator's effort to be more transparent about finances stems from ongoing self-evaluation.
Kim Le's outside business activities were subject of investigation
Getting even a rough sense of how governments influence share prices is a task fraught with peril.
The GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF would trade on the Cboe BZX exchange.
Under second proposal, CFP Board tweaks pre-engagement client disclosure, clarifies rules for non-financial-planning advice.
House Republicans passed the most extensive rewrite of the U.S. tax code in more than 30 years.
Regulator said non-standard trades led to firm miscalculating net capital.
Broker claims he had an agreement to get half of his book of business back if he returned to work.
