Fred Brown also failed to change his employment record to disclose two tax liens and three civil judgments.
Democrats want the Government Accountability Office to examine how brokerage and other financial firms' businesses have changed since the new requirements were vacated last year.
Plan also provides states $48 billion annually to eliminate undergraduate tuition and fees at public colleges and universities
Officials in high-tax states say Democratic-led states have been targeted to pay for the cuts.
What are brokers and advisers to make of all this? We may be a long way from knowing, but there's a lot to watch while we wait.
Case hits Spire Securities and its CEO and COO for activities of barred adviser who ran Ponzi scheme.
Agency says Edward Moody Jr. has already pleaded guilty to one count of mail fraud.
After turning attention toward next-gen platforms and client experience, broker-dealers may have to rethink technology to comply with a best interest standard.
The broker-dealer was censured and fined $40,000 for the infractions.
Despite an agency directive to eliminate the word 'fiduciary' in Form CRS, SEC officials say it's OK to use it.
Compliance requirements in the regulatory package affect both brokers and investment advisers.
Former SEC enforcement attorney will fill Democratic seat vacated by Kara Stein.
The new standard is more stringent than the current one, laying out explicit steps that brokers must take when considering a retirement rollover.
Portion of settlements with financial perpetrators would supply the pool.
Massachusetts securities cop sees uptick in marijuana-related fraud cases.
Agency seeks comment on easing limits on eligibility, investment amounts.
American Depository Receipts at the center of charges that Wedbush failed to supervise staff.
Reducing transparency around corporate debt transactions could raise risks for ETF traders and boost costs for investors.
The payout ranks among the middle tier of settlements reached by other asset managers in similar lawsuits.
Broker Patrick Foley failed to show up last month for testimony before Finra.
