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Meanwhile, the SEC hints that more actions could follow the $425 million in penalties levied against the brokerage firm.
June 23
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Enforcement actions at the SEC and FINRA highlight emphasis regulators are placing on fees and reverse churning, anti-money laundering programs and variable annuities.
June 23
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The wirehouse was hit with sanctions from the SEC and FINRA for disregarding securities rules, misusing clients’ cash and not disclosing product costs.
June 23
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An arbitration panel ruled that the firm had failed to properly supervise the adviser.
June 21
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The strategy raises tricky tax reporting and regulatory questions.
June 21
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Robert Cook, an attorney and former SEC director, will have to help the regulator navigate complicated matters , from calls for an industrywide fiduciary standard to heightened congressional scrutiny.
June 14
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A recent agency memorandum cited several legal cases to back up its opinion.
June 9
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If an advisor hasn't adopted new technology, the CEO asks, are they putting their own interests ahead of their clients?
June 1
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Some insiders at big brokerage firms encouraged the DoL to maintain progress. "That kept us going," Assistant Secretary of Labor Phyllis Borzi says.
May 25
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Sales commissions may decrease, but new assets are expected to come on the platform.
May 25
