Reg BI to Be 2025 SEC Exam Priority
By Melanie WaddellThe SEC is issuing more Risk Alerts and releasing its priorities early, the agency's exam director said Tuesday.
April 02, 2024
Hightower Taps Gurinder Ahluwalia as PresidentThe RIA has also named Michael DiBiasio, a former managing director at Morgan Stanley, as its COO.
April 02, 2024
Ameritas Suit Could Shake Up Life Settlement MarketThe case turns on whether a term life policy buyer can convert it into a permanent life policy.
April 02, 2024
Ex-Advisor Sentenced to 4 Years in Prison for $4.7M EmbezzlementChristopher Turean used client funds to gamble and for a home equity loan, the Department of Justice said.
April 02, 2024
The SEC Is 'Scaring People Off': Hester PeirceCulture at the top of the agency has changed, affecting how it engages the public, the commissioner said.
April 02, 2024
Fidelity Launches 3 Programs to Boost Financial LiteracySome 74,000 of the firm's associates are working to help make a difference in the communities they serve.
April 02, 2024
The Retirement Savings Reality Gap Grows — AgainThe difference between what Americans think they'll need and how much they've really saved has jumped 16% to $1.4 million.
April 02, 2024
Medicare Moves Toward Election Season Clash With InsurersGovernment payments may rise just half as much as the plans' costs. Plan menus could shrink.