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The SEC alleged the company did not disclose its conflicts of interests related to mutual fund share classes, cash sweep arrangements, and no-transaction fee revenues, according to a recent SEC filing.
July 1 -
During his tenure as New Jersey’s top lawyer, the state proposed tougher rules for investment advisors and joined other states in suing financial firms.
July 1 -
Such changes can occur without new rulemaking, agree fiduciary advocates and ex-regulators at an Institute for the Fiduciary Standard press conference
June 23 -
The SEC has tweaked certain accounting rules and is considering doing more.
June 23 -
After an initial phase of good-faith exams, regulators expect to see how firms have operationalized those programs.
May 24 -
Having a regulator appoint an auditor would deal with the conflicts once and for all, writes Chris Hughes.
May 12 -
Potential legislation from a more progressive Congress and pressure from activists groups could mean the end is near for forced arbitration.
May 12 -
Early comments from Chairman Gary Gensler have thrown cold water on speculation that the regulator would quickly approve a crypto fund.
May 12 -
Constantinos Maniatis exercised discretion in seven customer accounts despite the firm no longer allowing discretionary trading, the regulator said.
April 29 -
Advocates hope the Labor Department's first clarification on the Trump-era advice rule is the beginning of a series of steps to improve advice standards.
April 19