House OKs New Planning Initiatives That Could Stem Military Suicides
Enhanced programs will likely include financial planners. The initiative follows earlier legislation prompted by a Financial Planning investigation.
More in Regulatory/Compliance
Now that two of the biggest U.S. banks are convicted felons, the Justice Department appears to have proven the point it set out to make a year ago -- that it could deliver the harshest penalty possible against financial institutions without inflicting fatal wounds. more »
New rules would bog down independent advisors in 'busywork' without producing enforcement gains, Brian Hamburger argues. more »
The U.S. Supreme Court issued a decision that could have far-reaching implications for how long a retirement plan participant has to sue an employer for breach of fiduciary duty in a 401(k) plan. more »
Public hearings begin on Aug. 10 and comments may stretch beyond four months. more »
Whether they like it or not, RIAs must pay careful attention to their firms' compliance practices. Here are 23 important guidelines to follow. more »
Federal and state examiners still see compliance failures when advisors take to social media to promote their practice. more »
Virginie Maisonneuve, chief investment officer for global equities at Pacific Investment Management, will be leaving after helping shutter three active stock strategies at the firm. more »
Daniel Gallagher is resigning his post as a Republican member of the U.S. Securities and Exchange Commission after four years, a time marked by partisan battles over the regulatory response to the 2008 financial crisis. more »
Some of our favorite recent tax fraud cases. more »
The National Adjudicatory Council, which provides guidance to FINRA adjudicators, goes after fraudulent conduct with heightened sanctions. more »
Authorities allege that two self-proclaimed "licensed retirement strategists" made false claims in order to resell $4.3 million in life insurance policies to clients. more »
The firm said pretax profits for its global advisory business rose 24% from the year ago period. more »
Vanguard, BlackRock executives argue that regulators considering bank-like oversight of mutual funds are misreading the industry and inviting unintended consequences. more »
11 Creative Ways Advisors Have Changed Their Fees
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