With big staff cuts coming to an agency already struggling to provide customer service, Social Security claimants should begin preparing, advisors said.
The Finra panel found UBS Financial Services liable for $69.1 million in punitive damages.
A memo from SEC COO Ken Johnson gives staff several weeks to accept a voluntary separation package or early retirement.
So-called meme coins, including those launched by the president and first lady, fail the SEC's Howey Test, the agency said.
Report of a Thursday memo announcing 30,000 layoffs adds to uncertainty for retirees relying on benefits.
The consumer protection watchdog had previously launched a legal action accusing the bank of misleading customers on the interest rates it offers on savings accounts.
Accused claimed to be a wealthy hedge fund owner to gain trust.
Inside sources report rising internal concerns at the federal securities agency amid the unit's unrelenting campaign to cull inefficiencies across government.
The crypto exchange giant says the dismissal, which is still pending approval, would "right a major wrong" and pave the way for constructive rulemaking.
The order weighing on the federal agency's independence could also have implications on enforcement activity, concerned observers say.
Despite a laxer regulatory direction under the Trump administration, the consultancy is warning RIAs against marketing rule and fiduciary standard complacency.
The SEC is reviewing ETF applications and proposed rule changes at various exchanges for alternatives to bitcoin and Ether. Approval for some may be likely, but whether investors want the options is a question.
Gentile and Schneider were convicted of fraud and conspiracy after a seven week trial in federal court in Brooklyn.
Any government agency, including the SEC, could be made more efficient, lawyers said. But getting rid of knowledgeable staff may have long-term consequences.
Stoever, Glass & Co. Inc. opened in May 1964 and focused on municipal bonds.
Anonymous sources report the efficiency initiative is expected to turn its focus to the federal securities agency in the days ahead.
Elderly clients impacted in transfers to higher-fee advisory accounts.
But the Finra panel's decision against James Iannazzo was not unanimous.
The agency is reverting to a Trump-era policy that allowed public companies to widely exclude environmentally and socially themed resolutions.
Financial services companies are being targeted for potential legal action over their programs and initiatives on diversity, equity, and inclusion. It could be just the beginning.
