Regulation and compliance
Regulation and compliance
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Here's how commenters such as the AARP, SIFMA, FSI, the Consumer Federation, NAPFA, the CFP Board and others view the Department of Labor's retirement advice regulation.
2h ago -
The U.S. Chamber of Commerce and other business groups contend the Federal Trade Commission has exceeded its authority in nullifying contracts that prohibit employees from switching jobs to competitors.
April 24 -
The prohibition would be on most contract provisions meant to keep emplolyees from taking jobs with competitors.
April 23 -
Caz Craffy admitted to taking nearly $10 million entrusted to him by Gold Star families and using it for excessive trades through outside brokerage firms.
April 23 -
Opponents haven't stated publicly that they will file a lawsuit, but one will almost certainly challenge the Biden administration's expansion of the fiduciary duty.
April 23 -
The Wall Street regulator stands accused of a "gross abuse" of power in its investigation into the digital assets firm DEBT Box.
April 23 -
The ban comes after the Wall Street regulator's imposition of nearly $3 billion on fines for failing to track and record communications sent on messaging apps.
April 17 -
The regulator's Consolidated Audit Trail database, intended to collect trading data, is in legal crosshairs again over privacy issues.
April 17 -
Morgan Stanley CEO Ted Pick downplayed the importance of government investigations into potential money laundering issues involving wealth management clients. "We've been focused on our client on-boarding and monitoring processes for a good while," he said.
April 16 -
An expungement lawyer contends firms have an incentive to tar the reputation of departing brokers in an attempt to retain assets under management.
April 11