NASAA Selects Andrew Hartnett as New President
By Melanie WaddellHartnett, deputy administrator for securities for the Iowa Insurance Division, will serve a one-year term.
September 20, 2022
House Panel Advances Bill Repealing 2 Unpopular Social Security RulesThe Social Security Fairness Act would eliminate rules that can reduce benefits for public workers.
September 20, 2022
Retirement Income Planning? What's That?What some participants in a new Kiplinger's-Athene survey said about their retirement strategy might surprise you.
September 20, 2022
Waddell & Reed Ordered to Pay $776K Over Reverse ChurningThe firm allegedly breached its fiduciary duty by keeping clients who traded infrequently in wrap-fee accounts.
September 20, 2022
Donors Plan to Give More Amid Recession Worries: Fidelity CharitableConcern for their communities and nonprofits is driving DAF account holders to consider stepping up donations.
September 20, 2022
Morgan Stanley to Pay $35M SEC Fine Over Data SecurityAbout 15 million clients' details were compromised over a five-year period starting in 2015.
September 19, 2022
SEC Warns Investors on Performance ClaimsThe commission tells investors to make sure they understand how performance claims are calculated and presented.
September 19, 2022
SEC Releases Risk Alert on Marketing Rule Exam PrioritiesThe SEC highlights exam focus areas as the Nov. 4 compliance date approaches.