Compliance

This is the second time in three months the advocacy group has warned federal regulators and appealed for assistance.

The SEC chairman made remarks about Reg BI, Reg BE and about AI’s role in the markets at FINRA’s annual...

According to the trade association, the regulator will not appeal a ruling that keeps 401(k) rollover advice outside of fiduciary...

The DOL proposes extending for one year beyond their merger the exemptions being used by UBS and Credit Suisse to...

The brokerage and investment bank was expelled for misrepresenting its fee structure, churning accounts and failing to properly supervise and...

Social Security reform bills keep coming this Congress, and this one would remove Social Security payments from the calculation of...

The EBSA head also discussed the need to educate market participants on the DOL's ESG rule and changes to COVID-19...

A letter from the House Financial Services Committee calls for a freeze on the SEC’s enforcement budget and the defunding...

Adviser advocacy and interest groups expressed disapproval for the SEC’s proposal, citing discretionary trading concerns and limiting annuity use.

A 2020 case over the performance of proprietary CITs ends with a settlement.

The SEC complaint says Pinnacle knowingly mispresented the liquidity of some assets to satisfy liquidity requirements.

The president and COO of Nationwide Financial argues the rule would be bad for retirement plan and annuity product investors. 

The governor sees Florida as a trendsetter in how states can prohibit and ban ESG in state funds. 

A proposed rule whose comment period ends Monday would have advisers obtain written agreements that segregate client assets to protect...

The Maryland senator was a leader in drafting and passing SECURE 2.0 legislation.