Plaintiffs cite the two provisions of the regulation that became applicable in June, which they claim are 'imposing direct, substantial and continuing burdens on appellants' members.'
Retirement plan advisers and firms can use software filters to see how their fees compare to industry peers.
Investors Capital, J.P. Turner and VSR to pay $698,612 for pushing higher-priced fund classes.
California brokers Charles Frieda and Charles Lynch allegedly exposed clients to undue risks.
Reform proposals should not be drafted behind closed doors
Regulator says Kenneth Tyrrell engaged in undisclosed trades worth $13 million.
Regulator also seeks to set one-year limit from time a case closes to request a hearing.
Since the SEC bar in 2010, Barry Kornfeld has sold commercial mortgage loans of the Woodbridge Group of Companies, which filed for Chapter 11 bankruptcy and has stopped paying investor distributions.
Ladenburg Thalmann subsidiary agrees to pay restitution of almost $250,000 for overcharges.
Broker-dealer self-regulator summarizes deficiencies on areas including product suitability, cybersecurity
Senate Banking Committee approves measure as part of larger Dodd-Frank reform bill.
Senate measure's handling of such small-business income is simpler and makes allowances for more service companies.
Four Points Capital Partners clients of Zachary Berkey and Daniel Fischer said to have lost $573,867.
Firm censured, agrees to provide remediation to clients affected.
Luxury developer in SEC fraud investigation leaves elderly investors without monthly dividend.
Major variations include provisions on stock sale timing, pass-through policies and the alternative minimum tax.
This is not the first time the regulator has been called out on the makeup of its board.
Consider the Advertising Rule when engaging with various forms of media.
New excessive-fee suit alleges multiemployer plan covering more than 27,000 participants breached its duties under retirement law.
Patch systems promptly, train employees regularly and prepare for the worst.
