Top 6 Fee, Expense Failures That SEC Will Bust You For
By Melanie WaddellAn SEC Risk Alert lists the fee- and expense-related compliance failures the agency cites most frequently in deficiency letters.
April 12, 2018
States Settle With a Short-Term Medical Issuer As Fight in D.C. LoomsThe deal comes as the Trump administration is thinking of killing an Obama-era short-term medical regulation.
April 12, 2018
Private College 529 Plan, Which Locks In Tuition, Is ExpandingThe plan has a new president whose priority is encouraging more colleges and universities to join.
April 12, 2018
Fintech Firm Launches Shared-Service Platform, Hires Ex-LPL ExecDerek Bruton, who most recently worked for Oppenheimer, will become COO of Chalice Wealth Partners' broker-dealer and RIA.
April 11, 2018
Commonwealth, Securities America Add Former Invest Financial Affiliates: Recruiting RoundupKestra picks up an ex-SII Investments team; Halite Partners has appointed Ric Butler as CFO and COO.
April 11, 2018
SEC to Take Up Fiduciary Proposal on April 18The agency plans to consider a 'rule to establish a standard of conduct for broker-dealers,' according to a meeting notice.
April 11, 2018
House Votes to Change 'Too-Big-to-Fail' Designation SystemInsurers are getting closer to winning a battle that started after the Great Recession.
April 11, 2018
Boomers Are Also Hungry for More Advice About Insurance: IRIA new report reveals planning gaps that are similar to the gaps IRI found for members of Generation X.