Sen. Warren Floats Bill to Stop Credit Checks by Employers
The Equal Employment for All Act would prohibit employers from requiring potential employees to disclose their credit history when applying for a job.
Aberdeen to Buy FLAG Capital
The move expands the asset manager's reach in the alternatives business and among investors in Asia.
Fighting Financial Exploitation of Seniors
Senators, SEC Investor Advocate Rick Fleming and NASAA ponder whether new laws and programs could make it easier to report financial abuse.
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.
Critical Care: The Far-Reaching Effects of Medical Identity Theft
The words “identity theft” conjure up a pretty frightening picture. However, medical identity theft can not only threaten your clients’ financial well-being, but their lives as well.
5 Big Regulatory Changes Coming in 2014
Want to prepare your practice for potential changes in the year ahead? Keep your eye on these five areas.
Reporting Elder Scams Doesn’t Break Privacy Law
Seven federal agencies issued guidance Tuesday clarifying that the privacy provisions of the Gramm-Leach-Bliley Act generally permit reporting of suspected elder financial abuse.
FINRA Alert: Brokerage Imposters Do It Old-Fashioned Way
Step aside, Internet schemers, the newest imposters on the block are phony phone callers from fake brokerage firms.
New Hire Roundup: Carol Yochem Joins TD Wealth
This week in new hires, Carol Yochem joined TD Wealth, and Karen McNeill was appointed head of family history for U.S. Bank’s Ascent Private Capital Management.
White Sworn In as SEC Chief; Walter, Paredes Likely Leaving SEC Soon
Interim Chairwoman Elisse Walter will remain at the agency as a commissioner, but it doesn't look like she'll be there for long, David Tittsworth of IAA said.