Regulation

Displaying 9014 results

Topic

Former baseball star Angel Pagan wins $1.7 million arbitration award against Merrill Lynch

Case revolved around investments in Puerto Rican bonds made by the former MLB star

Topic

Small brokers push bill to ease audit rules despite challenging political environment

Legislation impacting financial advisers tries to get traction amid impeachment, election

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No fun: A vacation-home sale can raise Medicare premiums

A one-time income hike triggers a temporary high-income surcharge

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Embrace the SECURE Act’s opportunity to educate

RIAs should be prepared to provide extra guidance

Topic

Finra names Jessica Hopper head of enforcement

The longtime Finra official served as acting enforcement chief since September

Topic

Finra fines Prudential $1M over sloppy retirement-plan information

Regulator says flawed communications left plan participants in dark about investment costs

Topic

Lawmakers demand FTC investigate Envestnet Yodlee for selling consumer financial data

The data aggregator maintains it is in compliance with laws, regulations and best practices on data security and privacy

Topic

SEC Commissioner leaving next month

Robert Jackson Jr. to return to teaching at NYU Law School

Topic

Regulators crack down on teacher pension plans rife with conflicts

Experts: Recent Delaware settlement a sign of things to come

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