DoubleLine executive's comments come as the spread between 5- and 30-year Treasury yields hits its steepest level since 2016
The pandemic has pushed trade associations to virtual meetings to make their case with lawmakers
Examining the Securities and Exchange Commission's response to a question on this topic can provide some guidance
Tamara Steele and her Indianapolis-based firm, Steele Financial, agreed to disgorgement of $845,760 and a $75,000 civil penalty
The self-regulator used $39.5 million in fines plus another $31.6 million from reserves for the initiatives
The SEC case alleged the firm and its founder knew, but didn’t tell, about misrepresentations of fund performance
Rainia Washington becomes the lone African-American executive at the regulator
Very few plans include investments that use PE, and guidance this week from the Labor Department might not change that.
The brokerage reimbursed customers a year ago, earning a break on sanctions for cooperation
E*Hedge Securities, which was operating COVID-related investment websites, ‘does not appear qualified’ to register as internet adviser, the agency said
Investor advocates warn high-risk, high-fee investments could harm savers
Brenda Smith of Philadelphia diverted tens of millions of dollars from Broad Reach Capital, according to the charges
Raymond James is the latest broker to join the tussle over compensation on the insurer's variable annuities
An industry coalition filed a petition requesting the agency bring its staff 'guidance' in line with existing regulations on disclosing compensation for recommending mutual fund share classes
After being stalled for months, the proposal has finally advanced and could be heading toward public release
Plaintiffs in the lawsuit argue the SEC exceeded authority by giving brokers too much latitude on advice
Lawmakers have stepped in to provide relief to millions of Americans, but the laws come with unforeseen loopholes
The brokerage industry, which has a reputation for not always quietly abiding to external forces, has remained curiously silent on the impending changes
Two down, 48 states to go for sales rule
Regulation BI must be implemented by June 30, so why aren’t we hearing more about how brokerages are going to change the way they deliver investment advice?
