The presidential pardon for those with marijuana convictions was interpreted as a step toward federal decriminalization and sparked a rally in funds offering exposure to cannabis companies.
Tuttle Capital Management is seeking SEC approval to launch two active ETFs populated with the 'Mad Money' host's favorite stocks.
The change will offer the regulator's employees a hybrid approach that combines in-office and remote work.
Groups like XY Planning Network and the CFP Board view a document from the state's Division of Securities as undermining fee-for-service models.
The regulator says the firm didn't search the market to see if it could find better prices for customers, in a case that's another example of the regulatory crackdown in this area.
Comments from the Chamber of Commerce focused on making enforcement fairer, while organizations disagreed about who should be eligible to participate in private markets.
It's the second time in as many weeks that Finra has penalized a firm for such trading problems.
The lack of Democratic support likely would keep legislation on using alternatives in retirement plans out of the Secure 2.0 mix.
The securities watchdog said she broke US rules by not disclosing she was paid for the promotion.
The self-regulator formally removes the $310,000 ceiling on the fines that can be imposed on midsize and big brokerages.
Bradley A. Goodbred, who's based in suburban Chicago, allegedly defrauded a client who's now 97 and suffers from dementia.
The firm's former CEO, Laurence Allen, is barred and its current CEO, Michael Schunk, is suspended.
She takes the helm of the agency that oversees employee retirement plans as it is writing another iteration of an investment advice rule.
The organization representing SEC-registered advisers held its advocacy day on Capitol Hill on Thursday.
Florida, full of retirees looking for sunshine and low state taxes, is also densely populated with financial advisers.
The agency's chair implies at an Investment Adviser Association conference that investors should receive best-interest advice regardless of which type of financial professional they work with.
Three plan participants are suing the bank, alleging that it overpaid for company stock in its employees’ retirement plan.
The Los Angeles-based firm has had a history of failing to supervise certain trades that resulted in scrutiny from regulators and penalties.
In court documents, the SEC described at least a few senior managers at each firm who engaged in rampant texting with colleagues and clients.
The penalties levied against firms including Citigroup, Bank of America and Goldman Sachs constitute the largest-ever penalties against US banks for record-keeping lapses.
