Consumer, adviser advocates want to see results of investor testing first, but SIFMA says stick with original Aug. 7 deadline.
Dean Mustaphalli is accused with fraud, grand larceny and forgery.
Legislation requires Finra to establish a fund, financed by its own fine money, to cover amounts firms and brokers fail to pay.
No matter which option they choose, they risk getting hit with lawsuits.
It's the second university to get a complete dismissal, but lawyers say it's too early to tell if this is a harbinger for pending cases.
The SEC initiative seeks to raise standards and let investors understand the motivations of their adviser, without limiting choice.
Chairman Jay Clayton says proposal would increase investors' access to research.
Complaint alleges the firm's policies limit African-Americans' 'income and advancement opportunities'
Observers say it's difficult to determine if this is a harbinger of the outcome in the roughly 20 outstanding lawsuits.
SEC commissioner says the Department of Labor rule set up an 'unworkable, impossible set of standards for people to comply with.'
New owners plan more growth for the software service provider.
Top regulator says the relationship model is different with a broker or investment adviser, but both must put clients' interests ahead of their own.
Thomas W. Lee claimed Barclays shortchanged him after he guided sale of advisory unit to Stifel Financial Corp.
Agency says Tibor Klein used 'material, non-public information'
However, it likely won't bar employees from filing 401(k) lawsuits against their employers.
Director Brett Redfearn clarifies how the SEC defines 'best interest' and how it will determine whether a broker is in compliance.
Fuad Habba deposited checks drawn on closed accounts.
The three-judge panel split again, 2-1, in deciding not to take another look at the motion to intervene by California, New York and Oregon.
Allan Holeman failed to disclose three IRS liens totaling $157,000.
Variable annuity sales were down again, however.
