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Search Results For: securities and exchange commission
Bills would end mandatory arbitration in adviser, broker contracts
Insurers create pain points for advisers and clients
10 millennials making their mark in Washington — and beyond
SEC commissioner Peirce wants to move ahead on advice reform quickly
Maryland bill would impose fiduciary duty on brokers, insurance reps
JPMorgan to pay more than $135 million for improper handling of ADRs
SEC charges Wealthfront and second robo-adviser for false disclosures
Husband of UBS banker sued by SEC for insider trading
Clayton tells lawmakers advisers can skirt fiduciary standard
Finra exams find fault with sales of variable annuities, nontraded REITs and private placements
SIFMA says Reg BI raises broker standard above investment adviser requirements
Wells Fargo Advisors president David Kowach embraces best-interest standard
DJ Khaled and Floyd Mayweather settle with SEC for hyping cryptocurrency
NAIFA files suit against New York for mandating best-interest insurance sales
Hester Peirce: All women do not speak with the same voice, and SEC commissioners are no different
Ohio National offers buyouts, ends commission trails amid jumbled regulatory oversight of VAs
SEC commissioner warns about use of leverage in ETFs
Best interest standard must come with fiduciary teeth: Borzi
Broker-dealer CEO sees rapid escalation of brokers abandoning commissions in favor of fees
SEC tests show investors don’t understand disclosure form for brokers, advisers
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