SEC Proposes Tightening RILA Registration
By Melanie WaddellThe complex index-linked products would use an updated form aligned more closely with their characteristics.
September 29, 2023
FINRA Suspends Ex-Ameriprise Rep Over DUI ConvictionThe former broker failed to disclose the felony conviction for nearly five years, FINRA said.
September 29, 2023
Analyst Accused of Punching Subway Worker Faces Judge, Civil SuitThe New York transit operator saying she was attacked has sued Jean-Francois Coste of Tocqueville Asset Management.
September 29, 2023
Osaic Wealth, Affiliate BDs Broke Custody Rule: SECThe firms failed to obtain independent verification of client funds and securities of which the firms had custody.
September 29, 2023
Paul Quaranto Jr. Elected to Chair ACLI BoardThe group also announced the appointment of leaders from across the annuity industry to its 2024 slate.
September 29, 2023
Truist Customers Report Online Banking OutageCustomers of the seventh largest U.S. bank reported problems logging onto its website and mobile app.
September 29, 2023
SEC Drops New Wave of WhatsApp Fines on BDs, Advisory FirmsBaird and Interactive Brokers are among the firms that agreed to pay penalties.
September 29, 2023
Bill Could Give Low-Income ACA Exchange Plan Users HSAsH.R. 5608, the ACCESS Act bill, would replace cost-sharing reduction subsidies with health accounts.