Colorado Puts Annuity Data Regulation in Play
By Allison BellThe state's requirements could have a big effect on how all financial services regulators approach AI and machine learning.
October 02, 2023
Envestnet, Orion Cutting JobsEnvestnet cited "macroeconomic headwinds," while Orion said it was culling "duplicative" roles after acquisitions.
October 02, 2023
Fidelity Fined $1.7M for Lax Approval of Options TradersFINRA and the Massachusetts Securities Division fined Fidelity for "rubber-stamping" options trading applications.
September 29, 2023
Dimensional Adds 2 ETFs, More Expansion PlannedWith seven new and forthcoming products, the firm projects 38 funds in the suite by year end.
September 29, 2023
SEC Proposes Tightening RILA RegistrationThe complex index-linked products would use an updated form aligned more closely with their characteristics.
September 29, 2023
FINRA Suspends Ex-Ameriprise Rep Over DUI ConvictionThe former broker failed to disclose the felony conviction for nearly five years, FINRA said.
September 29, 2023
Analyst Accused of Punching Subway Worker Faces Judge, Civil SuitThe New York transit operator saying she was attacked has sued Jean-Francois Coste of Tocqueville Asset Management.
September 29, 2023
Osaic Wealth, Affiliate BDs Broke Custody Rule: SECThe firms failed to obtain independent verification of client funds and securities of which the firms had custody.