Finra, along with two other regulators, levied fines against the broker-dealer for widespread system failures
Lanton represents small firms; Nagengast reelected to represent large firms
Businesses that donate to charities in exchange for a state tax credit can deduct those costs from their federal taxes, according to new regulation
The president is relying on an expansive and controversial reading of executive power that likely will face legal challenges
Wealth transfer isn’t just for the well-heeled anymore as business owners and families of wide-ranging income levels embrace the latest strategies to keep intergenerational assets in the family — and out of the hands of the IRS
New Jersey-based WBI Investments and Millington Securities allegedly made misleading statements
Former NFL player Jack Brewer allegedly used nonpublic information to sell shares in COPsync
Peirce was reappointed to a Republican seat; Crenshaw fills a Democratic slot
Sen. Murray says agency is ‘charging ahead recklessly’ and could cost retirement savers billions
The pair now head to the Senate floor for a confirmation vote
There will be long-term financial fallout for some workers, and plan sponsors and advisers should be talking with them
Regulation would require ‘concise, visually engaging’ shareholder reports that help investors understand fees, risks and performance
The COVID-19 crisis will make some employers more open to PEPs, but the recent hit to the economy could mean slow uptake for those plans
The Insured Retirement Institute calls for raising RMD age, allowing catch-up retirement contributions
Plaintiffs in the class-action case alleged the school's retirement plans had high fees and poorly performing, restrictive investment options
Advocates for alternative investments oppose the provision, which is not likely to survive in the Senate
An adviser who recently left Fidelity allegedly used client data from his former job to contact prospects
The rewrite of the vacated Obama fiduciary rule also draws criticism from investor advocates
Many comment letters voiced opposition to the rule, stating that the proposed restrictions within 401(k)s would hurt investors and could lead to more lawsuits
Firms can classify meals as entertainment costs even if the get-together is happening online
