Observers say the proposal could open up areas of arbitrage, depending on how it's drafted
Industry lobbyist suggests regulator avoid 'prescriptive' language for mitigating conflicts.
Laurence Rollins accused of taking trade secrets to new employer.
Report outlines more that 80 recommendations for lawmakers and regulators.
A federal judge ruled the university did not act imprudently with employee retirement plans.
Regulator wants to know what it can do to provide support.
IRS OKs up to $10,000 in K-12 spending and rollovers to ABLE accounts; makes recontributing tuition refunds to 529s tax-free.
These investments will make sense mainly for ultrahigh-net-worth clients, at least initially, according to tax experts.
Although measure died in June, Massachusetts case against Scottrade lives on.
Daniel B. Rudden and Denver-based Financial Visions allegedly defrauded 150 investors
Regulator says move will ensure unified approach in charging, sanctions.
Decision involves two lawsuits related to University of Southern California retirement plans.
Plan would also create universal savings accounts, but it doesn't offer fixes for glitches in last year's overhaul.
Nearly two-thirds of firms have increased testing in the area.
Eight broker-dealers censured for supervisory laxity in monitoring VA exchanges.
Complaint alleges Jack Jarrell sold $64 million in securities without being licensed.
Plaintiffs given until July 30 to file amended complaint against executives of the $38.6 billion plan.
Massachusetts securities czar says Alan Siegel lied to clients on website.
Suit involved decline in price of company stock held in the 401(k) plan after regulators fined Wells.
