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The Financial Industry Regulatory Authority Inc. said at the start of the year it was looking into registered representatives, who applied for coronavirus-relief loans, for possible violations.
The rule requires firms with a history of misconduct or that employ a high number of reps with disciplinary records to deposit cash into an account controlled by the Financial Industry Regulatory Authority Inc.
Legislation by Rep. Patrick McHenry, R-N.C., would allow anyone who passes the agency's exam to purchase unregistered securities, but credentialing groups are concerned about the mechanism for becoming a sophisticated investor.
In a letter to Labor Secretary Marty Walsh, Democrats asked for an update on the DOL’s rule proposals on ESG criteria. Last year, the Trump-administration DOL finalized two rules that tamped down on use of so-called nonpecuniary factors in investment selection.
Times have changed as the giant money manager for professors puts a $97 million penalty behind it.
A new SEC registration form tailored to the products would support innovation, the Insured Retirement Institute argues.
Legislation written by Rep. Alexandria Ocasio-Cortez, D-N.Y., would require some advisory firms that manage wealthy families' finances to register with the Securities and Exchange Commission.
Gensler says he's asked agency staff to seek additional disclosures from Chinese firms before signing off on their registration statements to sell shares.
Lisa Gomez's career is rooted in ERISA, and her keen understanding of the law would help the DOL as it seeks to implement new rules, lawyers said.
SEC previously charged George Heckler with fleecing $20 million from investors in a decade-long fraud.
Teachers are eligible for a second supplemental plan. It’s called the 457(b), and it has several key advantages over the 403(b).
Empower has distanced itself from its other competitors; the only one that matters is Fidelity, which is bigger and more profitable because of its ability to cross-sell wealth management services to participants as well as offer proprietary products.
In a hearing before the Senate Finance Committee, witnesses urged lawmakers to include changes such as mandatory coverage, student loan provisions and emergency savings in whatever legislative package materializes, such as the SECURE 2.0 bills in the House and Senate.
Robinhood, whose IPO is slated for Thursday, disclosed in a filing that Finra is seeking registration information about its personnel, including the non-registration status of CEO Tenev and co-founder Bhatt.
The 10 largest public pension funds devote about 9% of their combined equity holdings to 20 high-carbon emitting companies, according to Bloomberg Intelligence.
The proposals would impose public censure for CFPs who fail to self-report ethical problems. The guidelines are the first recommendations to come from the Commission on Sanctions and Fitness, which was established earlier this year.
The pop superstar's plea to end her 13-year conservatorship raises questions around its validity and prompts experts to rethink the whole system.
The SEC chairman signals that the disclosures about the risks corporations face from climate change may appear in the mandatory filings public companies make to the agency.
Key retirement industry groups urge President Biden to put in place a coordinated federal approach to the crisis.
In an investor alert, the agencies point out four tactics that fraudsters use to trick investors, such as spoofed websites and fake profiles on social media platforms.
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