Also censures firm, again, for not paying discounts to eligible customers
New York’s BlackCrown files antitrust suit saying deal would decimate small firms
Finra also fines firm $800,000 for failure to supervise UIT rollovers
Phillip Frost seeks monetary damages, a halt to the merger and the cancellation of the 2018 transaction
Provision would make it easier for small businesses to form collective 401(k) offerings
An analyst is forecasting trouble for the wirehouse through next year, with mounting risk as Democrats take aim
State regulators also see trouble in real estate, cryptocurrencies and social media investments
Finra and exchanges say firm’s clients generated more than 50,000 alerts
ETF Managers Group says it will appeal the ruling.
Agency says Keith Springer also tried to hide previous regulatory problems
Here are the most-read InvestmentNews stories of the year
The measure will have wide-reaching effects on retirement and estate planning for most people
The regulations outline who qualifies for tax breaks and the penalties for breaking the rules
Machines are doing a lot more of the work and investors are piling into passive funds.
Insurer's policies for locating annuity customers resulted in errors in accounting for reserves, SEC says.
Regulator says trading app's order-flow procedures failed to guarantee clients received best prices
But residents of high-tax states shouldn't get excited — the measure is dead on arrival in the Senate.
SEC official: 'Can I demonstrate how I got to this recommendation?'
Self-reporting of regulatory issues by advisers has been a clear weakness.
Regulator proposes allowing people with some professional financial certifications, such as Series 7, 65 and 82 licenses, to qualify as accredited investors
