As part of its effort to strengthen enforcement, the board identified about 1,200 advisers who hold the CFP mark whose conduct merits further investigation
The broker-dealer says it has more than $1 million in insurance to offset the expense
Those who took required minimum distributions in January are allowed to undo them, and the timeframe for doing so extends through Aug. 31
The agency argued a fiduciary responsibility involves focusing solely on returns for participants
Sandlapper Securities may have some fight left, says CEO Trevor Gordon
The company will be one of the first provide the plan type outlined in the SECURE Act
Participants in the $557 billion Thrift Savings Plan will have many more target-date vintages available to them starting in July
The ruling upholds the agency's right to claw back ill-gotten gains as long as they’re from net profits of fraudulent schemes
A recent study found advisers with more ethics training are one-fourth less likely to participate in unethical behaviors
The executive had worked at the Financial Industry Regulatory Authority Inc. for nearly three decades
Technology providers are deploying tools to help advisers brace for new regulatory requirements
The sons of his partner were ordered to pay back almost $488,000
Threats to the equity rally include a COVID second wave, U.S.-China tensions and the prospect that central banks will wind down their stimulus efforts
The SEC chair has placed much political capital into reforming the agency's rules
A bipartisan bill to amend the Internal Revenue Code hints at more attention to the issue, according to a report from Morningstar
The ruling came in a lawsuit brought by a California couple ordered to pay $27 million after being found to have defrauded investors
The dispute between Attorney General Barr and Geoffrey Berman has cast a shadow over Clayton's nomination for the position
U.S. regulators dropped the ball in a recent letter clarifying that regulations do not prohibit the use of private equity funds in 401(k) plans
Jay Clayton would replace Geoffrey Berman, who is exiting after 2½ years in the job
The architect of the DOL fiduciary rule remains skeptical of the SEC measure
