The rule would establish a special roster of arbitrators for expungement and set deadlines for requests
The agreement would end the class-action suit brought in early 2018
SIFMA, Investment Adviser Association, and others, are pushing the SEC to make electronic delivery the default option
Workers were mostly uninterested in the expanded $100,000 loan limit, according to recently released data
The prominent 401(k) litigation firm filed a class-action lawsuit this week against Pentegra Retirement Services
First he convinced the courts to throw out the fiduciary rule; now he’s crafted a new one as agency chief
SEC complaint alleges John Geraci knew of fraud when marketing his fund
Scott Allen Fries of Cincinnati took $178,000 from clients and spent it on himself
The Institute for Portfolio Alternatives says lawmakers are receptive to its diversification pitch
As his clients sue, former rep James Flynn is reportedly in the Caribbean
We look at the big news, announcements and underlying trends and developments that are emerging in the world of technology solutions for financial advisers!
The central bank said again that it will continue buying Treasuries and mortgage-backed securities 'at least at the current pace'
Electronic delivery should be the default communication method for investors, according to a letter sent to the agency this month
Even though a federal appeals court vacated the measure in 2018, its impact lives on
The class-action cases point to allegedly excessive investment management fees
One goal is to fortify Democratic opposition to Reg BI
Democrats scrapping the Trump administration’s reforms hinges on who’s picked to lead the SEC
National aggregators are forcing independents to act
Even as the regulator moves to stem the funds in retirement plans, there are ample opportunities, according to speakers at the NAPA 401(k) Summit
The agency said Arizona’s Park View School misled investors about its financial condition
