JPMorgan CEO says a bigger risk to the global economy is the war in Ukraine as it signals the ‘Cold War is back.'
Measures that would build on the SECURE Act's efforts to improve retirement security could run into trouble if consumer advocates zero in on annuity reform.
The crackdown could hit everything from leveraged and inverse vehicles to cryptocurrency-linked funds and defined-outcome strategies.
People trust climate data more often if companies are required to report it, a recent survey found.
The additions will bring the agency's Crypto Assets and Cyber Unit to 50 people.
While the number of firms decreased, aggregate revenue for Finra-registered firms rose to $398.5 billion in 2021, up from $361.9 billion in 2020.
The adviser, Adam Belardino, had managed the victim’s investments before he founded Maddox Group in July 2019 and persuaded her to transfer $313,000 to Maddox.
Gwen Campbell says in a complaint filed with the EEOC that she was subjected to 'name-calling' and 'sexist decrees' when she joined JPMorgan in 2020.
Gerald J. Fasanella alleged that the firm had conducted a “pre-meditated scheme to defame” and fire him.
The measure sponsored by a bipartisan group of representatives would bring exchanges that offer digital assets like Bitcoin directly under the purview of the Commodity Futures Trading Commission.
James Iannazzo, who lost his job at Merrill after a tirade at a smoothie shop, will have the charges against him dismissed after a year under supervision.
Legislation would require companies to explain to employees the benefits of taking their pension benefits as a one-time lump-sum payout versus collecting a regular income stream in retirement.
Finra said last summer that it was launching an examination sweep probing the opening of options accounts.
Finra says the firm failed to report certain trades in TRACE-eligible securities.
Hwang and CFO Patrick Halligan were arrested early Wednesday and charged with fraud.
A dispute between James Barksdale and EIC, which provides separate account strategies, could have wider implications for how advisers tout their track records.
The state imposes an annual $400 levy, the so-called privilege tax, on members of certain professions who do business in the state.
The environmental services company is being sued for overcharging 401(k) plan participants; meanwhile, similar cases concerning VCA and Trader Joe's heat up.
The following answers address the most frequently asked questions regarding the new IAR CE requirements for 2022.
The regulatory notice is another example of Finra's increased scrutiny of complex products.
