Competition is okay if it involves general categories of investments rather than specific products
Arthur Hoffman was suspended by the firm last month for outside business interests
The 401(k) plan of Aegis Media Americas is charged with not using less expensive funds
The regulator charged Sandlapper Securities in 2017 with exorbitant markups of securities
Hybrid Ambassador Advisors used 12b-1 funds instead of less costly versions
The regulator often includes the fees among its annual examination priorities, however they were not on the list this year
In-person sessions, suspended during the pandemic, allow for better presentation of evidence and arguments, they say
The Fed chairman cited the risk that the pandemic will cause the U.S. lasting economic harm
Neil Burkholz and Frank Bianco are also required to disgorge more than $860,000
The SEC charged the wirehouse with not fully disclosing fees for five years
The smart money is betting the SEC will prevail in the challenge to its new rules scheduled to take effect June 30
The Fed said another program to buy debt directly from issuers will launch 'in the near future'
An update on the regulator's website says more time needed for system testing
McCaffree Financial, which unsuccessfully sued Principal Life, recently brought an unrelated case against ADP
The past few years have seen significant growth in regulatory clarity for at least a certain segment of this asset class
Some smaller companies have joined the rush to return PPP loans in response to the Trump administration's rules and guidance
Broker self-regulator says it will not increase regulatory fees for member firms this year
The 2nd U.S. Circuit Court of Appeals agreed to an expedited oral argument in early June
Donald Woods inflated retirees’ wealth figures so that he could sell them REITs
Mediators will work remotely for $100 an hour; so far, 85 agree to participate
