Firms registered with the broker-dealer industry regulator saw their revenues and profits rise last year
‘Core’ suits, which don’t involve M&A, totaled 117
The DOL's proposal on using ESG investments in retirement plans could remind advocates of sustainable finance of the work still to be done
Compliance experts advise making potential conflicts clear, avoiding small print
The Fed chairman described the path forward as 'extraordinarily uncertain'
Consumers are reporting more problems with credit reports and money-transfer services
The wirehouse will become the latest major asset managers to enter the fray
Payment linked to adviser who committed suicide in 2017
Effort highlights agency’s teacher initiative, but expert calls it ‘slap on wrist’
Initial reviews show disclosures could be ‘clearer or otherwise improved’
The DOL proposal likely would chill the use of socially responsible investments in retirement accounts; the SEC focuses on disclosure
Mark Hopkins, who was barred by Finra in 2019, said he would put the funds in an investment earning 6% or 7%
The proposal fails to account for evidence that long-term investors, like retirees, are likely to earn better returns
Financial advisers should be 'legally obligated' to put clients’ interests first, according to the draft document
Silicon Valley-based La Meer rolled out three online portals to help advisers comply with new regulations
The Broadridge affiliate has not filed notices required by the DOL, plaintiffs in a class-action lawsuit claim
But there is little consensus on how to do so, according to comment letters submitted this week to the regulator
Arbitration lawyer says decision sends signal to ‘Wall Street bullies’; Credit Suisse points to wins in other cases
The class action alleges the company didn’t prudently monitor record-keeper expenses
The agency's overhaul targets proxy advisory firms like Institutional Shareholder Services and Glass Lewis
