Compliance requirements in the regulatory package affect both brokers and investment advisers.
The new standard is more stringent than the current one, laying out explicit steps that brokers must take when considering a retirement rollover.
Former SEC enforcement attorney will fill Democratic seat vacated by Kara Stein.
Massachusetts securities cop sees uptick in marijuana-related fraud cases.
Portion of settlements with financial perpetrators would supply the pool.
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.
Veteran broker accumulated 34 disclosures over 21 years in the industry.
Broker Patrick Foley failed to show up last month for testimony before Finra.
Industry push results in chance to air grievances on July 17 and another month to present objections.
Backtested formulas often don't work in the real world and should be well regulated
Documentation will be key to passing exams under the rule, observers say.
Jones has seen $18 million of client assets move to a rival brokerage firm.
The secretary of the commonwealth is proposing a fiduciary standard in response to an SEC investment-advice rule he views as too weak.
The question is how much mitigation and elimination of conflicts — versus disclosure — will really happen at firms and be required by the SEC.
Arguments by Northeastern states in court hearing later this month deemed a long shot by legal experts
Company is offering clients complimentary, two-year membership to an identity theft protection and credit monitoring service.
Agency says Jovannie Aquino recommended series of frequent, short-term trades while charging commissions and fees for each trade.
