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Dennis B. Levine, a central player in the 1980's most notorious insider trading scheme, benefits from the regulator's fix, but so will some everyday financial planners.
June 7 -
Venture capital-backed Purpose Rounds helped ethical leather goods firm Parker Clay raise money outside the traditional routes as the pilot firm on the platform.
June 6 -
Industry groups question the wisdom of regulators seeking to have one rule on data breaches for broker-dealers and another one for advisors.
June 6 -
The SEC case is the latest to highlight the risks investors run when they get involved with "blank check" companies.
June 2 -
Proponents of the House of Representatives legislation argue that new regulations often fall disproportionately on financial planners that don't have formal compliance and legal departments.
June 1 -
Federal officials have long warned of the dangers of accounts with few guardrails on what they can invest in.
May 31 -
The key is finding a way to handle increasingly complex compliance while continuing to serve clients effectively.
May 15 -
For the first time, the brokerage's self-regulatory body is citing the 3-year-old rule as a reason to remove a firm from the industry.
May 12 -
His lawsuit is the first to follow the U.S. Supreme Court's decision in another case questioning the regulator's "at-home" advantage with internal proceedings.
April 28 -
Betsy Jo Merritt accused regional directors of undermining her succession plan and causing the loss of millions of dollars in damages.
April 28