The industry has focused on compliance, often overlooking the fact that the supervision function has the same need to network and learn more about common practices
The compliance deadline for Reg BI for brokers is June 30, 2020.
Center for Economic Justice argued in a comment letter to the NAIC that insurers are incentivized to develop indexed annuities with disingenuous product illustrations.
Senior reporter Mark Schoeff Jr. speaks with managing editor Christina Nelson about tensions at the SEC hearing, the final vote and the latest insights on the new regulatory package.
Investment committees are often narrow and uniform, which could have negative consequences for 401(k) plan sponsors.
New rules stress disclosure of conflicts, but fall short of creating a uniform fiduciary standard.
Statement and fact sheet clarify four measures in the just-approved financial advice standards.
James Anderson declined to answer questions about selling away.
Insurance agent James Hocker promised investors returns of 30%, but kept the money.
Barbara Roper says the new regulations 'will mislead investors into expecting protections the rules do not deliver and deprive them of protections they currently receive.'
The high court could have a significant impact on how such retirement plan suits involving company stock play out.
After 6,000 comment letters, here are the key points advisers want the SEC to resolve in its final rule package.
A new model law would allow states to do a better job of protecting the interests of those subject to guardianship.
Here are the major milestones on the journey toward the agency's final advice reform package
The broker, David Strnad, "exceeded the scope of his authority" when he made the trades, according to Finra.
Supporters want to maintain momentum of 417-3 House approval.
The regulation can't mirror the SEC's advice rule, but could borrow many of its key concepts.
Bank's policy "relies on and enforces sex-based stereotypes" according to male employee
Adviser advocates are grateful for attention to the matter, but say the provision needs to be clarified.
In addition to overcharging clients, Stephen Brandon Anderson overstated his assets under management in SEC filings.
