But those who showed objective knowledge paid less, research shows.
An advocate questions whether the CFP credential's fiduciary obligation can apply in a firm where advisors are dually registered.
'This is a transition of leadership,' says a former Democratic Senate staffer. 'It's business as usual with respect to oversight of the SEC.'
Regulator cannot challenge federal court judge’s ruling on Ripple Labs’ digital currency.
Goldman Sachs trader denies sharing tips with friends and family.
Opponents say the legislation would do little to help most people.
Galvin cites Fidelity's “half-hearted and lackadaisical attitude” on approving clients to trade risky securities.
But advisors who want crypto ETFs are waiting for spot products, observers say.
Ten firms, including Baird and Interactive Brokers, agreed to pay penalties totaling $79 million for employees' use of unmonitored communications channels on the job.
The regulator has paused decisions ahead of a government shutdown.
The former president could be back in court as soon as this Monday, with Trump Tower at risk.
Regal Assets and its owners pilfered $21 million from clients, the CFTC and California DFPI allege.
'I intend to vigorously defend myself against these claims,' broker Tony Barouti states.
Report says that the deals are now being considered by the firms involved.
Members of the House Financial Services Committee spent hours criticizing or praising the SEC's work under Chair Gensler.
The rule allowing such inspections is due to expire at the end of this year, but Finra has asked to delay the expiration until June 30.
Regulator says multiple conflicts were not disclosed over 5-year period.
The asset manager is appealing its conviction for helping wealthy clients with cross-border cash moves.
Former president loses New York lawsuit as judge describes 'fantasy world.'
'It feels like déjà vu,' says one advisor. 'This is what they do every time.' The SEC would have to furlough the vast majority of its staff, bringing enforcement and exams almost to a halt.
