Democratic commissioner says the SEC should define ‘best interest,’ clarify conflict mitigation related to Reg BI
Marc Berger, the enforcement unit's deputy director, will serve as acting chief, the agency says
The lack of guidance on custody is slowing the adoption of cryptographically based assets, experts say
New cases were filed against employers, and insurers have tamped down limits on fiduciary liability coverage
The major financial industry group said the current agency has vowed for tough enforcement of the rule
Proposed Labor Department amendments to the Fair Labor Standards Act and pending legislation in the Senate are the latest challenges in this area
The Chair of the House Financial Services Committee also targeted rules surrounding opening up private markets
New Hampshire Bureau of Securities Regulation called the settlement the 'largest monetary sanction' in the regulator's history
Establishing an easily understood rule for advisers shouldn't be this difficult
RR Donnelley and Cognizant Technology Solutions were sued, and Trader Joe's fended off a legal attack
Valerie Szczepanik will continue to head the office
Fiduciary duty? Best interest? They’re ultimately political decisions
Mark Lisser peddled 'pre-IPO' shares in New York and Florida
A NASAA model rule would impose 12 hours of CE annually for IARs
The former SEC executive will beef up the organization's detection, investigation and prosecution
Two former wirehouse brokers run afoul of Reg S-P, according to Finra
Under the proposed rules, most companies on the U.S. exchange would have to have one woman director and one who is minority or LGBTQ
Craig Rumbaugh and his California-based firms will pay $1 million for misleading investors
A grocery chain is paying $17.5 million in one case, and a pharmaceutical company is shelling out more than $2.5 million in another
Approval may be moot as the new administration could easily quash it
