Life Groups Back Quick Adoption of State Regulators' Sales Standards Proposal
By Allison BellTwo consumer groups say the current NAIC draft is weaker than the SEC's Regulation BI standard.
December 03, 2019
Equity Long Bias Strategy Tops Hedge Fund Performance in 2019Eurekahedge reports that hedge fund investors have redeemed $127 billion this year.
December 03, 2019
Galvin Goes After Metals.comSix Massachusetts residents got swindled out of retirement funds, the securities regulator says.
December 03, 2019
Cetera Taps Antoniades as CEOThe news comes about nine months after Robert "RJ" Moore stepped down from the role.
December 03, 2019
Wife Took Out Husband's IRA Money, His Broker Was Kicked Out of JobFINRA suspends broker for "unauthorized transactions" after Morgan Stanley terminated him.
December 03, 2019
SEC's FAQ on Form CRS Draws Advisor ComplaintsRIAs and BDs are only allowed to prepare one Form CRS to explain multiple products and services.
December 03, 2019
Have Social Security's Actuarial Adjustments Kept Up With Reality?Outside factors may mean there needs to be a new look at how much retirees are paid, according to a Boston College study.
December 03, 2019
DOL Advances Its Proxy Voting Rule for Retirement PlansOMB issued a notice about a DOL "Proxy Voting Update" related to ERISA plan investments.