LPL, Raymond James Caught in SEC's Messaging Probe
By Melanie WaddellThey are among firms facing SEC inquiries about preservation of messages stored on personal devices or apps.
March 01, 2023
Senate Set to End Labor's ESG RuleThe expected move by Republicans and some Democrats is likely to be vetoed by the president.
March 01, 2023
Ex-Vanguard Broker Charged With Killing Girlfriend Is Suspended by CFP BoardJohn Poulos of Texas was charged with femicide and obstruction of justice in Bogota, Colombia.
March 01, 2023
Women Likely to Help Other Women Reach Financial Goals: FidelityNearly 70% of female respondents in the survey said they help other women because another woman helped them.
March 01, 2023
RBC C&C Adds Vestwell as Exclusive 401(k) Platform ProviderVestwell's technology will help RBC's advisor clients efficiently service 401(k) and 403(b) plans.
March 01, 2023
New House Data Privacy Bill Could Limit State Insurance Regulators' AuthorityInsurance groups want changes. An electronic privacy group hates the reliance on disclosures.
February 28, 2023
Robinhood Subpoenaed by SEC Over Crypto BusinessThe probe comes as financial watchdogs take a more aggressive approach to crypto in the wake of FTX's collapse.
February 28, 2023
2 More RIAs to Pay Nearly $900,000 Over 12b-1 FeesThe SEC also charged them with best-execution failures, from which the two Republican commissioners dissented.