In SEC roundtables, agency leaders hear ideas ranging from cost calculator to graphic illustrations.
A handful of other fund managers have settled similar allegations over the past two years.
Ms. Lee, who has worked as an SEC enforcement attorney, would replace her former boss, Kara Stein.
Westminster Financial Securities said to be reneging on agreement to pay elder client, including for a $200,000 bronze bear purportedly purchased from a broker's mother.
Harry Buchanan Smith and team joins firm in Charlotte, N.C.
Texas adviser embroiled in Seth Rich lawsuit says false charges cost him professionally and personally.
Demonstrating your thoughtful approach to areas of investor concern — and the steps you're taking to address them — will pay dividends in trust and client retention.
Benefits lost to excess earnings are restored at full retirement age.
Observers say the proposal could open up areas of arbitrage, depending on how it's drafted.
Bank of America Corp. reports high percentage of female and non-white interns, with Goldman Sachs Group Inc. and Wells Fargo & Co. reporting similar numbers.
Ponzi deniers seek access to master database to disprove fraud and hold on to $100 million in 'profits.'
In comment letter, Investment Adviser Association criticizes SEC advice rule for net capital, account statement and licensing requirements.
The firm is one of the last holdouts to launch CITs, signaling increased demand for the investment vehicle.
Four main changes should be made before a final rule is issued
Looking to double their money in five years, P-E investors are attracted to the wealth management industry.
It may be easy to dismiss ESG as a fleeting investment idea, but people thought the same about target-date funds in the '90s.
But the agency's proposal does not require brokers to be fiduciaries for clients, instead establishing an undefined "best interest" rule.
Newly public RIA rollup bought the Atlanta RIA while it was going through its IPO process
Fiduciary advisers should be weighing the risks and upsides of securities lending.
Ex-audit department employee says she brought concerns to Finra and then was let go days later.
