Staff Gone Rogue: Federal Action Without Commission Approval — SEC Roundup
By Nicolas Morgan and Tom ZaccaroAdministrative proceedings are continuing with the same flaws, with the Enforcement Division apparently emboldened to act without SEC authorization.
June 24, 2025
Ex-CFA Institute Executive Charged With Embezzling MillionsMichael J. Collins was arrested Monday on an eight-count indictment by the Manhattan district attorney’s office.
June 24, 2025
12 Top U.S. Cities Where Retirees Are MovingPerhaps surprisingly, only one city in Florida made SmartAsset's list.
June 24, 2025
House Passes Bill to Expand Accredited Investor DefinitionThe bill freezes the financial thresholds and allows investors with certain education or experience to be considered "accredited."
June 23, 2025
Advisors Sue Focus Financial Over 'Staggeringly Overbroad' RestrictionsEnforcement of the covenants would essentially bar the advisors, who resigned, from continuing in the industry, they argue.
June 23, 2025
Northern Trust Commits to Staying Independent After BNY ApproachA tie-up would bring together two of the largest custodian banks in the world.
June 23, 2025
12 Insurers That Sold the Most RILAs in Q1These are the hottest issuers in one of the hottest financial services sectors.
June 23, 2025
Advyzon, Nitrogen Partner to Boost Advisor EfficiencyThe tech firms are collaborating to deliver an integration of risk analytics and portfolio management.