States Fine LPL $26M Over Unregistered Securities Sales
By Janet LevauxThe IBD must repurchase some unregistered, nonexempt securities sold to clients over the past 12 years, plus interest.
May 02, 2018
Gotcha! SEC Searchable Database Flags Enforcement RecordsSALI helps identify registered and unregistered individuals who have been parties to past SEC enforcement actions and against whom federal courts have entered judgments.
May 02, 2018
5th Circuit Denies AARP, States' Request to Intervene in DOL Fiduciary RulingDrinker Biddle's Fred Reish speculated to ThinkAdvisor on Labor's next move.
May 02, 2018
Delaware Sees Hidden Value in Genworth's Annuity UnitExecutives say New York's China Oceanwide deal review is going 'reasonably well.'
May 02, 2018
Molina Could Pull Out of Florida ACA Exchange in 2019Executives said they are happy with the performance of their exchange plan operation in Texas.
May 02, 2018
Medicare Advantage Plans Can Pay for Many LTC Services in 2019: FedsPlans could cover adult day care, respite care and in-home support services.
May 02, 2018
New Carbon Risk Score Launched by MorningstarGoing beyond measuring a carbon footprint, the new score measures firms' preparedness for a lower-carbon economy.
May 02, 2018
Federal Panel Puts Off Dementia Financial Burden BattleAn advisory council is recommending that researchers study how much dementia costs.