SEC's Reg BI Doesn't 'Raise the Bar' Over FINRA's Suitability Rule: Consumer Groups
By Melanie WaddellConsumer advocacy groups tell SEC's Jay Clayton what's lacking with the agency's rule.
April 26, 2019
New LifeSecure Policy Offers Hospital Observation Care CoverageThe hospital policy may help consumers cope with an alarming Medicare benefits gap.
April 26, 2019
FBI Sees Big Rise in Internet Crime Complaints, LossesThe FBI received nearly 17% more complaints in 2018 than in 2017, and nearly double the losses.
April 26, 2019
Regtech Officials Expect Action Soon on Financial Transparency ActThe CEO of The Data Coalition says the act will be a "game changer" and will standardize financial reporting.
April 26, 2019
How Investing Pros Avoid 'Greenwashing'These ESG investors give insights into green bonds and socially responsible investing.
April 26, 2019
FINRA Hits BD for Reps' Excessive and Unsuitable Trading: EnforcementIn another enforcement action, the SEC charged a sales assistant with taking funds from brokerage customers.
April 25, 2019
California May Give Lawmakers More Clout Over CommissionerThe bill sponsor says he wants to equip state lawmakers to play a more active role in oversight.
April 25, 2019
Raymond James Names Private Client COO, Boosts ProfitsThe PCG reported higher profits and net revenues of $1.27 billion for the quarter ending March 31.