Enforcement Roundup: Madoff Recovery Total Hits $10 Billion
Meanwhile, the SEC suspended trading of four companies over concerns about their Ebola remedy prospects.
Senator Says Spending Bill Ready Soon, Vows to Fight Social Security Cutters
Senate Appropriations head Barbara Mikulski sees the incoming GOP-controlled Congress as likely to reduce the number of Social Security field offices.
Why NASAA Is Leading the Charge Against Elder Fraud
At least one-third of the enforcement actions initiated by state securities regulators involve senior investors, and NASAA is tackling the issue head on.
10 Richest Members of Congress: 2014
As midterm elections near, it's good to know which legislators have the most amount of money, and if it means they are less effective legislators.
Washington Watchers See Big Retirement Push in 2015
Retirement planning officials should prepare next year for the release of DOL’s fiduciary plan, the official launch of Obama’s MyRA and more.
ERISA at 40: ‘Terrible’ or ‘A Job Well Done’?
While terms used to describe ERISA include “horrible” and “terrible,” a panel of experts agreed Tuesday that the law has had a positive impact.
House Dems Call for SEC Crackdown on Corporate Anti-Whistleblower Practices
Lawmakers say “overly restrictive nondisclosure agreements,” for example, threaten the SEC's whistleblower program.
ASPPA Names Keck President
Kyla Keck, a principal of SageView Retirement Plan Consultants and SageView Advisory Group in Knoxville, Tennessee, named ASPPA's new president at annual conference.
Top 25 U.S. Charities: 2014
The Chronicle of Philanthropy ranks the top charities by private donations, with four of the top 10 DAFs, including those of Fidelity, Schwab and Vanguard.
SEC's Bowden: Ethical Standards More Important Than Policy, Procedures
Advisory firms striving for compliance “can’t be effective by merely having policy and procedures, even if tested,” the exam chief said.