The insurer will be the first non-bank to argue that its failure would not pose a threat to the financial system.
With spotlight on consumer confusion, harm, some think SEC will be swayed to quicker action reviewing brokerage contracts.
Brokers do a better job at cybersecurity than investments adviser, according to the SEC.
As regulator made it clear it was ready to fight tooth and nail, firm moves to settle, pay a fine.
A new paper by the organization concludes $17 billion estimate of lost retirement savings not substantiated.
Top executives at the firm are among those facing smaller bonuses after a year of discouraging financial results.
Republican Piwowar criticizes Finra's plan for a massive brokerage data collection mechanism, asking whether it's a "solution in search of a problem."
Regulators are steamed by B-Ds that mark up postage charges to clients. You can't blame them. In some cases, brokerages are socking customers up to $75 per transaction.
A new array of developing legal risks awaits unwary retirement plans and their advisers.
Judges said the firm must face a class-action lawsuit on mortgage debt in bond funds.
<i>Breakfast with Benjamin</i>: Plus: Buffet's opaque empire, Obama's regulatory plans and New York's efforts to keep its meat hooks in tax refugees.
The dominance of algorithms in trading means advisers need to re-evaluate their processes
Lisa McAlister, the company's former chief accounting officer, pulls her defamation suit, in which she claimed she was a scapegoat for a $23 million accounting error.
Plaintiffs claimed defense contractor breached fiduciary duty, mismanaged funds.
<b>Breakfast with Benjamin:</b> Where the price of oil is likely to settle. Plus: On the responsibility of retirement plan sponsors and mutual fund directors; don't get blown away by the new jobs report and banks pass stress tests with flying colors.
Largest ETF firm wins victory in case questioning its lucrative securities-lending business.
Some agree with concept but argue that short treatment lumps everyone together and lacks nuance.
After Dodd-Frank, SEC relying more on own judges. Regulator claims practice is more efficient, but lawyers say it puts defendants at a disadvantage
Andrew Ceresney espoused the agency's increased use of in-house judges before a congressional panel, while steering clear of the debate over raising investment-advice standards.
Piwowar says agency should avoid the appearance it is using administrative law judges in enforcement cases to improve chances of success.
