How to Overcome Behavioral Biases, Raise Retirement Savings: Cerulli
Cerulli’s latest research addresses ways recordkeepers can better engage retirement plan participants to improve outcomes.
Don’t Believe Headlines About Rising U.S. Rates: Merk
Axel Merk warns that a focus on real rather than nominal rates shows the dollar should be headed down and gold up.
IRS Warns on Phone Scams as Its Contractors Put Taypayer Info at Risk
Agency warns of the biggest phone scam it has ever seen; meanwhile, a report finds IRS gave contractors taxpayer data without mandatory background checks.
Under the Hood: Protection From Cyber-Crime and Identity Theft—What You Need to Know
Financial advisors are increasingly targeted by identity thieves, so it's more important than ever that advisors protect their clients’ assets and information.
SEC Charges Energy Firm Whose Fracking Replacement Was Just a Chimera
Chimera Energy built a pump-and-dump scheme on the premise that it was developing cleaner oil-and-gas technology, the SEC said.
Former SEC Chief Walter Named FINRA Public Governor
FINRA announced Thursday that former SEC Chairwoman Elisse Walter has been elected to FINRA’s Board as public governor.
SEC Enforcement: Kansas Charged With Securities Fraud
In another action, a brokerage firm and its founder were charged with violating net capital requirements and falsifying data in an attempt to mislead examiners.
Whistleblowers Abroad Not Protected Under Dodd-Frank, Court Rules
A federal appeals court dismissed a case brought by a whistleblower in China, saying Dodd-Frank's anti-retaliation rules didn't apply overseas.
Edward Jones to Fund Series 7 Course for College Students
The firm will pay to add this course to 10 universities that offer a financial planning sequence, starting with Kansas State University.
SEC Fines Linkbrokers $18 Million for Hidden Fees
Linkbrokers Derivatives purported to charge clients very low commission fees, but actually extracted fees that, in some cases, were more than 1,000% greater.