Senator Warns SEC Chief Not to Crack Down on Trading Apps
By Melanie WaddellThe SEC's mission "does not extend to protecting investors from themselves," Sen. Pat Toomey writes.
September 30, 2021
Franklin Templeton Acquiring O'Shaughnessy Asset ManagementThe deal, whose terms were not disclosed, is expected to close in the fourth quarter.
September 29, 2021
RIA Fined for Charging 81 Clients Without Providing ServicesThe clients stopped receiving advisory services after their original advisors left the firm, the SEC said.
September 29, 2021
Betterment Valuation Rises to $1.3B on Funding RoundThe robo-advisor also attracted funding from Aflac Ventures, a division of insurer Aflac Inc., and several other firms.
September 29, 2021
Fight Over Medicare Advantage Patient Health Scores Heats UpAn insurer group says cracking down too hard on score creep would drive up monthly premium bills.
September 29, 2021
FINRA Plan Sets Annual Fee for CE RequirementsThe fee would apply to members who take CE to remain qualified for up to five years after their registration is terminated.
September 29, 2021
Many With Guardians Have 'Britney Spears' Problems, Witnesses Tell CongressA Texas consultant said guardianship courts need helping getting the Social Security Administration to listen.
September 29, 2021
DOJ, SEC Charge Ex-Advisor With Bilking 3 Older ClientsThe ex-broker used the money to pay for luxury cars, vacations, private school tuition and a gold necklace, according to the authorities.