The lawsuit had charged university representatives with failing to negotiate a better deal for the participants in its retirement plan
The organization’s premier event sets the tone for its oversight of brokerages
The regulator is allowing mutual funds to borrow from managers or other funds to meet redemption requests
The House is scheduled to vote Friday; President Trump has said he would sign the legislation immediately
The final measure also makes it easier to withdraw funds from retirement accounts in an emergency
New SEC order eases requirement for advisory firms to explain why they need to delay ADVs
Barred by Finra, Donald Hunter set up a private fund that bought shares he had owned personally
Client claims rep used subterfuge to obtain consent for transactions
The market dive is likely to result in more early withdrawals and borrowing from retirement plans, particularly by people who don't have access to financial advice
The measure includes $500 billion to back loans and assistance to companies and more than $360 billion to aid small businesses
Working from home would mean depending on telephone, video or online outreach
Former SEC enforcement official says lawmakers should have set up blind trusts or automated trading
The SEC and Finra have posted warnings about frauds that play off the pandemic
Brandon Copeland created a new firm and failed to pay penalty
Programs will remain viable but will take longer to build assets as gig workers and small businesses struggle to stay afloat, leaders said
Democrats voted to reject Majority Leader Mitch McConnell's latest version of the measure
Financial industry also pushes for temporary waiver on required minimum distributions
After the extension, the deadline for filing now matches the deadline for tax payments announced previously
Two lawsuits over plans’ target-date investments were filed in the past week, and there was a major development in another case
James Blake Daughtry was to be questioned about unauthorized trading in customers' accounts
