Finra and state administrators are set to launch online testing for Series 6, 7, 63, 65 and 66 exams
Fed steps up with monetary support; experts want Congress to provide more fiscal backing
The regulator deems ‘material’ federal help to pay personnel who work with clients
The agency may not complete the legislation until late in the year, while it deals with fallout from COVID-19
Contributions from donor-advised funds could make difference for struggling nonprofits
Investor advocates: Common sense and the Investment Advisers Act require the disclosure of higher-fee funds
Coordinated exams also show deficiencies in books and records, contracts and fee-related matters
The enforcement action demonstrates the agency's continued targeting of conflicts over fund fees
The coronavirus recovery bill allows for the full deduction of your donation up to your adjusted gross income
Under its proposed rule, BrokerCheck and the SEC's database would display the same information on dual registrants
