If Chairman Jay Clayton leaves the SEC, a Republican successor likely will pick up the mantle
Opponents say the higher level for reporting stock holdings deprives investors and advisers of crucial information
Christopher W. Burns allegedly fled the day before he was expected to hand over documents to the regulator
Law firm Capozzi Adler, which has been the most active 401(k) litigator this year, filed the class-action complaint against the HR provider
At least three cases were filed recently against providers of multiple employer plans, and two other cases have been settled
New York City REIT sees a staggering decline in value after it begins trading
Examining the implications of the SEC expanded definition of an 'accredited investor' for private equity investors — and the advisers who serve them
The allegations fell under section 36(b) of the Investment Company Act — a strategy that has been unsuccessful for numerous plaintiffs who sue investment managers
The brokerage industry self-regulatory organization says the hike is needed to address structural deficit
On this week's InvestmentNews Podcast, Jeff Benjamin and Bruce Kelly discuss whether financial regs will be affected if Democrats win the election
In a move to enhance oversight of the credentials, new rules strengthen the board’s ability to enforce code of ethics and standards
Numerous other state auto-IRA programs are in development, and the plans should be thinking about drawdown strategies, a report suggests
At the same time, Toronto-Dominion Bank’s acquisition of an ownership stake in the Charles Schwab Corp. was also approved
A review of 45 fee-only advisers by the Institute for the Fiduciary Standard shows only 14 of them mention the term on their website homepages
The firm separated hedges into two buckets, which is a Reg SHO no-no
The agreement opens up access to important tools for consumers, but the FTC is asking for more information about such practices
Corbin Lambert, who ran his own RIA firm, is also affiliated with Securities America according to the BrokerCheck database
Marietta, Georgia-based Lindner Capital Advisors and its principal were also charged with compliance deficiencies
Clifton Curtis Sneed Jr. lied about his credential and criminal past when he pitched high-return investments to church members
The hike Gov. Phil Murphy signed into law moved rates from 8.97% to 10.75% for $1 million-plus earners
