There's a sense of relief that the extremes of both parties would be tamped down by a Biden presidency and a Republican Senate
That scenario could slow any attempt to change investment advice rules put in place under the Trump administration
Terrence Chalk allegedly ran a Ponzi-like scheme that promised 12% annual returns
The similar cases, against Allstate and Northern Trust, were also brought by the same law firms
Enforcement cases drop in latest fiscal year, but agency officials tout results obtained amid pandemic challenges
Paramveer Singh, a former tech stock analyst, spent $21,000 at the club, Finra alleges
Plan fiduciaries could have to prove that nonfinancial factors of ESG funds are in the best interest of workers, one lawyer said
With demand from investors growing, plan sponsors focus on their fiduciary duty
The changes modernize private market rules and make it easier for small companies to obtain financing, according to SEC Chairman Jay Clayton
If Democrats prevail, regulators may upset the new Reg BI standard, leading to big changes in fee structures — or they may just leave it alone
There’s a lot in the bill for pre-retirees, company sponsors and retirees, but the changes proposed for retirees jumped out at me
Agency takes the term 'ESG' out of the text, but opponents say the regulation's chill factor remains
The new rule requires reps to receive written permission before accepting an inheritance
Biden's tax proposals and call for increased antitrust scrutiny would pose challenges for dealmakers
Heading into Q4, advisers are feeling more confident about financial markets, their businesses and the overall economy
Valliere, Gardner see a narrow Electoral College victory for the former vice president
Stretch IRA or 10-year rule? Advisers need to explain to clients which set of tax rules applies
Christopher W. Burns allegedly defrauded hundreds of thousands of dollars from clients, according to the agency
Agency also seeks comments on whether additional rules are needed to protect investors buying complex products
COVID-19 could lead more workers to take money out of retirement accounts, according to a survey from Edelman Financial Engines
