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Search Results For: securities and exchange commission
State insurance commissioners draft annuity sales rule
LPL and Independent Financial Partners lose $10 billion retirement group
Understanding the costs of ETF selection
SEC commissioner Stein suggests Congress address differing broker, adviser standards
New Jersey releases uniform fiduciary standard pre-proposal, seeks comments
SEC charges $54 million Louisiana RIA and owners for cherry-picking scheme
Creative Planning fined for failure to monitor radio ads and its president’s personal accounts
RIA charged for not disclosing commissions earned from selling risky tech stock
Democrats urge SEC to strengthen broker standard in advice rule
Shorthanded SEC may have to decide investment advice proposal on its own
Finra fines Securities America $175,000 for failure to supervise variable annuity sales
Merrill Lynch reverses policy on banning IRA commissions following death of DOL fiduciary rule
Mychal Kendricks, Cleveland Browns linebacker, charged with insider trading
SEC bars unregistered adviser who pled guilty to securities fraud
SEC ponders creating video to help investors decide between investment adviser and broker
Deluge of comment letters to SEC shows usual split on raising broker standards
Allison Lee most likely choice for SEC commissioner, reports say
Annuity rule likely won’t include a fiduciary standard, NAIC says
SEC nominee Roisman stresses disclosure, helping investors understand adviser relationship
Democrats criticize SEC advice rule, push for fiduciary standard
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