GOP Lawmaker Questions SEC Chief on Commitment to Reg BI
By Melanie WaddellGary Gensler says he fully supports the rule even after appointing staffers like Barbara Roper who oppose it.
October 05, 2021
Prudential Puts Individual and Institutional Annuities in New UnitDylan Tyson, the unit's head, has been in charge of individual annuities.
October 05, 2021
Gundlach's DoubleLine to Launch Stock, Bond ETFsThe firm aims to launch two actively managed U.S. ETFs in a first for the Los Angeles-based manager of $137 billion.
October 05, 2021
The Business Case for Voluntary BenefitsA CEO in the sector says employee-paid options can help an employer stand out.
October 04, 2021
SEC Chief Launches Probe of Complex ETPsGensler has directed SEC staff to examine the potential risks of complex financial products like leveraged and inverse ETFs.
October 04, 2021
SEC Charges Stock Trading Webcast Host in Pump-and-Dump SchemeThe former broker already pleaded guilty, in a parallel action, to conspiracy to commit wire and securities fraud.
October 04, 2021
First U.S. Bitcoin ETF Could Be Coming in 2 Weeks, but There's a CatchBloomberg's Eric Balchunas gives a 75% chance the SEC will approve a Bitcoin ETF in October.
October 04, 2021
Advisors See Sharp Increase in Behavioral Biases Among Clients: SchwabHere's how advisors can help prevent investors from acting on those biases.