Each guide breaks down specific elements of the group’s Code and Standards and discusses how CFPs can fulfill their duties.
U.S. consumer prices jumped in January by more than expected, representing a bigger hit to Americans’ paychecks as inflation charges ahead at the fastest pace since 1982.
Under the regulation, advisers would have to adopt and implement policies and procedure to address cyber risks and report incidents to the SEC and on their Form ADV.
The Reg BI examination results are part of a 60-page report outlining the regulator's 2022 priorities.
Maryland, Mississippi and Vermont are the first states to put the NASAA model rule into effect.
The SEC has rejected several Bitcoin ETF proposals because of concerns about potential investor harm tied to a crypto market it does not regulate.
Treasury's Liang says that firms offering the coins should face the heightened scrutiny that lenders receive under U.S. rules.
The agency is asking the public to comment on recent applications for exchange-traded funds linked directly to the price of Bitcoin and whether such funds could be a vehicle for fraud.
The Crypto Market Integrity Coalition is amendable to regulation and wants to help shape it. The 17 members signed a pledge to combat fraud and manipulation and ensure fair digital markets.
A group representing independent insurance agents says the regulation places an undue burden on them.
I was watching my alma mater play a crucial conference game when a commercial from a financial firm sparked a debate on fiduciary duty.
The lawsuit argues the company’s use of its own Old Westbury line of mutual funds in the plan benefited Bessemer at the expense of plan participants.
Under the Labor Department rule that took effect this week, advisers must declare their fiduciary status and material conflicts of interest in writing and follow impartial conduct standards.
At the center of the judge's order to vacate the arbitration decision were questions about whether or not Finra arbitration was a neutral forum for investors.
The SEC, NASAA and the CFTC take action to stop Safeguard Metals and its owner, Jeffrey Santulan, whose scheme allegedly targeted investors who were at or nearing retirement.
FSI is partnering with Inroads to encourage its member firms to offer paid internships for students of color.
The case filed against the Columbus Regional Health System cited breaches similar to those alleged in the Northwestern case, such as offering retail share classes of mutual funds instead of lower-cost institutional shares.
Ophelia Snyder, 29, is already managing $2.5 billion. She is now teaming up with Cathie Wood to bring a Bitcoin ETF to the U.S. — if regulators allow it.
Under Chairman Gary Gensler, the agency is taking a closer look at private equity, hedge funds.
Stakeholders must have enough time to analyze and provide a reasoned response in order to provide helpful input on proposed regulations.
