Final judgment also finds Barry F. Connell liable for restitution, which he repaid in criminal case
Arkansas and Michigan become the latest states to adopt the National Association of Insurance Commissioners model rule
The commissioner had been counsel to Senate Banking Committee prior to joining the commission
The sanction addressed failures to maintain proper oversight of advisers, which included a Ponzi scheme, according to the regulator
Worden Capital Management displayed lax oversight of brokers' trades, according to Finra
Morgan Stanley’s $1.7 million settlement highlights remedies for excessive fees
Trump will likely name either Hester Peirce or Elad Roisman — the SEC’s Republican commissioners — as acting chairman
The SEC's rule, which represents the first update to advertising regulations since 1961, presents potential opportunities and dangers
A CARES Act provision that encourages companies to repay their workers' student loans would be available for another five years
Julie Ann Moskin and Retire Happy received fees for selling dubious securities, according to Massachusetts Secretary of the Commonwealth William Galvin
Taking time off to have a child, care for a family member or provide home schooling amid the pandemic can derail a career in finance.
Blass led the division’s work on updating rules for ETFs, BDCs and closed-end funds
Agency says advisers, brokers must apply ‘heightened scrutiny’ to sales of risky ETPs
The agency accused them of misleading investors in XRP, the world's third-largest cryptocurrency
Revision of the advertising rule in place since 1961 reflects technological advances like social media marketing, according to the regulator
A small section of Tuesday's spending bill will help some employers avoid partial plan terminations
The trade group files a comment letter with the SEC with suggestions on how to modernize disclosures
The new fund designed for wealthy investors will be seeded with $20 million
The conflicts of interest ranged from 12b-1 fees to cash sweep accounts to alternative investments
The agency will ‘conduct enhanced transaction testing’ to see if firms are acting in customers’ best interests
