The Texas couple made 90 unauthorized distributions from pension and retirement plans they ran
The Democratic choice is likely to be paired with Republican Hester Peirce in the confirmation process
The panel also advanced a proposal to target exam cheating and pledged to increase the diversity of its membership
The 'Buckets of Money' adviser can apply to work in the securities industry again
The agency is likely collecting data to shape a proposed rule on investment selection
The investment manager's plan included a poorly performing, high-fee product, the plaintiff alleged
Cash is flooding into fixed-income ETFs at a record pace and interest in betting against both high-grade and junk funds has dissolved
Marilyn Booker, the firm's first global head of diversity, says it refused to adopt her plan to address racial bias
Pandemic conditions make acting in clients’ interests even more important, Jay Clayton says
The Secondary Market Corporate Credit Facility is one of nine emergency lending programs the Fed has announced since mid-March
The SEC filed a parallel civil complaint against Frederick M. Stow for stealing nearly $1 million
It will become the latest state to move forward with a retirement savings program for private-sector workers
At least four lawsuits involving plans with more than $1 billion have been filed over the past few weeks
Rhode Island, Oklahoma advisers join SEC-registered advisers in meeting June 30 deadline
The regulator is encouraging innovators to reach out with specific questions or to discuss general issues
David Austin took $144,000 from three customers for his personal use
Finra says the Advisor Group unit failed to supervise early rollovers of unit investment trusts
Powell plays down the May jobs gain and suggests it will take years to get U.S. employment back to its pre-pandemic level
New floor of about $8,300 is meant to end the ‘$1 trick’ for brokers seeking quick clearing of records
Even though plan sponsors are offering easy access to retirement accounts, few workers have taken advantage of that
