The plaintiff failed to raise issues with the company's process of selecting and monitoring funds, a judge wrote
Walsh is a former head of the Boston Building and Construction Trades Council; his appointment is a signal that Biden will make the labor agenda a priority
The company was already targeted in another class-action case over the target-date series and managed account options in its plan
The challenges of the pandemic were magnified by the implementation of the SEC's Reg BI
The online trading platform’s popularity has skyrocketed over the last several months, but its fast growth has also generated increased regulatory scrutiny
Final judgment also finds Barry F. Connell liable for restitution, which he repaid in criminal case
Arkansas and Michigan become the latest states to adopt the National Association of Insurance Commissioners model rule
The commissioner had been counsel to Senate Banking Committee prior to joining the commission
The sanction addressed failures to maintain proper oversight of advisers, which included a Ponzi scheme, according to the regulator
Worden Capital Management displayed lax oversight of brokers' trades, according to Finra
Morgan Stanley’s $1.7 million settlement highlights remedies for excessive fees
Trump will likely name either Hester Peirce or Elad Roisman — the SEC’s Republican commissioners — as acting chairman
The SEC's rule, which represents the first update to advertising regulations since 1961, presents potential opportunities and dangers
A CARES Act provision that encourages companies to repay their workers' student loans would be available for another five years
Julie Ann Moskin and Retire Happy received fees for selling dubious securities, according to Massachusetts Secretary of the Commonwealth William Galvin
Taking time off to have a child, care for a family member or provide home schooling amid the pandemic can derail a career in finance.
Blass led the division’s work on updating rules for ETFs, BDCs and closed-end funds
Agency says advisers, brokers must apply ‘heightened scrutiny’ to sales of risky ETPs
The agency accused them of misleading investors in XRP, the world's third-largest cryptocurrency
Revision of the advertising rule in place since 1961 reflects technological advances like social media marketing, according to the regulator
