Plaintiffs in the lawsuit argue the SEC exceeded authority by giving brokers too much latitude on advice
"If they’re firing her, they better fire themselves," Paul Auslander said
InvestmentNews survey shows economic recovery, pandemic response are key issues in determining the president's political fate
Two down, 48 states to go for sales rule
Regulation BI must be implemented by June 30, so why aren’t we hearing more about how brokerages are going to change the way they deliver investment advice?
The changes are designed to give the organization better access to information for disciplinary actions
About $1.9 million goes to harmed customers, an emphasis for the new Finra enforcement director
State regulators have asked Congress to halt SEC efforts to ease private-market rules
New rules target brokers with pending claims that are switching firms or trying to transfer assets
Promissory note cases lead the way, signaling potential ‘employment upheaval’
