Trump’s Tweets Are ‘Official Statements,’ Feds Tell Court
The question has been on the minds of lawyers and legal scholars since the tweet-happy president took office.
SEC Finds Widespread Compliance Failures Among Municipal Advisors
A risk alert details “frequently observed deficiencies” in the areas of registration, books and records, and supervision.
House Passes Bill Requiring Safeguards on Trading Data
The CAT system, which tracks market activity, was scheduled to launch soon but exchanges are reportedly seeking a delay.
‘Mini-Rothification’ of 401(k)s Could Be Added to Tax Bill
Retirement industry lobbyist Brian Graff blasted a proposal to apply Roth treatment to all catch-up contributions.
SEC’s Top 3 Enforcement Priorities
Stephanie Avakian, co-director of enforcement, said the agency is trying to be “more strategic,” expanding the use of digital analytics in investigations.
4 Ways Senate Tax Bill Hurts Retirement Plans
Capping an important benefit for the highest earners sets a dangerous precedent, says ARA's Brian Graff.
House Panel Passes Tax Plan as Senate Readies Tax Bill Release
The House bill includes some last-minute amendments, including a lower rate for some small-business income.
FINRA Bars Broker Who Ripped Off Blind, Elderly Widow
Hank Mark Werner received commissions for recommending that a client purchase an unsuitable variable annuity.
How to Retain Your Clients, and Your Sanity, When Switching Firms
Follow these five steps to help smooth the transition for your clients and their assets.
SEC Busts ‘Frack Master’ Again, This Time in Real Estate Scheme: Enforcement
In other enforcement actions, the CFTC fined Morgan Stanley $350,000.