Broker regulator uses Twitter, digital video to release board decision.
Complaint says firm may have unwittingly profited from the trades.
Massachusetts' securities chief Galvin begs to differ
But industry champing at the bit to hawk their wares in the media
The group of employees who have charged Fidelity with forcing them into costly proprietary funds in their profit-sharing plan just got a little bigger. That's a big deal.
Advisers should revisit estate-planning techniques now that the Treasury Department and the IRS recognize same-sex marriages for federal tax purposes. How will this impact your clients?
A House Democrat has introduced a measure to end mandatory arbitration, but the bill might get stuck in its Republican-controlled committee.
Republican commissioner blasts proposal, claiming its sole purpose is to 'shame CEOs'
Two key GOP congressmen blast SEC regulation of private funds, claim the agency is protecting fat cats at expense of ordinary investors. Focus on RIAs, they say.
New Republican SEC Commissioner Michael Piwowar is likely to continue the emphasis on cost-benefit analyses of agency rules, an effort that was elevated by his predecesor, Troy Paredes. A potential uniform fiduciary standard of care for retail investment advice has proceeded slowly because of such a regulatory impact study.
Former Senate aides get late-night unanimous OK, White on board through mid-2019.
Would-be commissioners say White's approach makes sense.
He says the Fed sees the economy healing and aims to prevent unintended consequences of its monetary policy.
The CFTC, starting in the 2014 fiscal year, would set a fee for futures, options on commodities, and swaps to fund the agency
