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It's a bigger challenge to keep pace with a fast changing industry, CEO Robert Cook said.
October 13
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The regulator claimed he sold $2.63 million in equity-indexed annuities without disclosing the business to his employer, U.S. Bancorp Investments.
October 11
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Managers are asking the SEC to relax constraints it imposed on the funds as they become the fastest growing products for investing in equities.
October 10
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The products protect clients against losses, but significant caveats emerge in the fine print.
October 10
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Despite a sales dropoff, experts forecast growth from product innovation and latent demand.
October 10
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The change could alleviate firms’ recruiting worries that they must pay trainees to spend the first few months studying.
October 6 -
Authorities say increased regulatory coordination has boosted scrutiny of firms and advisors.
October 6
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Chairman Jay Clayton says the regulator is drafting a rule proposal to harmonize standards for brokers and advisors.
October 5
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Last year, the Democratic senator argued successfully for the termination of Sloan's predecessor as chief executive, John Stumpf.
October 4
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What led Louis Martin Blazer III to cooperate with federal prosecutors?
September 29
