Broker Barred for Concealing Commissions From Native American Tribe: Enforcement
By Emily ZulzMeanwhile, a firm principal was barred for falsely claiming the firm had enough assets to register with the SEC.
January 17, 2019
'Visionary' Bogle Gave SEC a Warning About Reg BI"Ideas are a dime a dozen," Bogle told SEC Chairman Jay Clayton. "Implementation is everything."
January 17, 2019
Nationwide Helps Start United Way Program for Federal WorkersAflac is offering a premium grace period.
January 17, 2019
NAIC Names 2019 Consumer RepsDemocrats' resurgence in the U.S. House could give the consumer reps a louder voice.
January 17, 2019
Morgan Stanley Q4 Earnings Disappoint in 'Difficult Environment'The wealth unit saw a slight drop in pretax net income and revenue, though its after-tax income improved sharply.
January 16, 2019
What's Worrying JPMorgan's Dimon? Bad PolicyDimon stressed the need for more compromise in government during a conversation at the Economic Club of New York.
January 16, 2019
Maxine Waters to Keep 'Watchful Eye' on RegulatorsThe new House Financial Services Committee leader will also "be paying very close attention" to the growth of fintech firms.
January 16, 2019
Appeals Court Rejects UnitedHealth Payment Strategy in ERISA Discretion CaseThe ruling could limit a plan's ability to link payments for in-network care and out-of-network care.