7 Top SEC Exam Priorities for 2025
By Melanie WaddellIn addition to core business practices, examiners will focus on new rules, emerging tech and investor data protection.
October 18, 2024
Bob Doll: 'Buy High, Sell Higher' in This Risky MarketThe end of a momentum-driven bull run is impossible to predict, "therefore, you need to participate," he said.
October 18, 2024
CVS Ousts CEO, Names Caremark Head as New ChiefThe pharmacy chain named David Joyner as its new leader, ending a tumultuous tenure for Karen Lynch.
October 18, 2024
Fidelity, Russell and SEI Quizzed by DOJ as Ken Leech Probe Ramps UpMoney managers that used Western Asset Management to help invest their bond portfolios are being questioned by authorities.
October 18, 2024
Rockefeller Nabs $1.9B Merrill TeamThe 16-person group DiMedio Wealth Partners has joined its family office business in Newtown, Pennsylvania.
October 18, 2024
CFP Board Pivots on 'Perfect Job' Campaign After BacklashCFP Board CEO Kevin Keller said the organization appreciates planners' feedback and has updated some of the ads.
October 18, 2024
Schwab to Replace Its Advisor Robo OfferingClient accounts must be moved from the Intelligent Portfolios platform to Ameritrade's iRebal by the fourth quarter of 2025.
October 18, 2024
SEC X Account's Alleged Hacker Arrested Over Fake Bitcoin ETF PostThe fake post, a day ahead of the approval of spot Bitcoin ETFs, caused the price of Bitcoin to surge.