Bipartisan measure would establish 14-year statute of limitations, countering recent high court decision that set a five-year limit on recouping losses.
Merrill Lynch, Chase Wealth Management tout people of color in training programs.
Rule proposal would require firms to review rep requests to hold such positions.
Cases bring focus to protection of retail investors, including crackdown on expensive share classes.
Critic says latest iteration falls short of true best-interest standard set by New York
Agency takes most actions against advisers, investment companies.
Agency updating marketing rules for first time since 1961 to reflect new technology such as social media.
Finra panel said Jeffrey T. Rathmanner was defamed when he left the firm and ordered his U5 expunged.
Norwalk, Conn., financial professional preyed on elderly clients
Guidance from NASAA likely to warn advisers not to charge monthly fee for advice alone.
