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Thursday, March 30, 2023
Latest:
  • Texas to Liquidate What’s Left of Friday Health’s Operations in the State
  • Older Workers and Periodic Coverage Reviews: A Medicare Customer Question
  • Schwab Could Survive Fleeing Depositors: CEO
  • SEC Charges Lindsay Lohan, Other Celebrities With Crypto Violations
  • Advisor Charged With Defrauding Clients in Annuity Switching Scheme
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Legal & Compliance

News 

Pelosi, McConnell Offer New Stimulus Plans as Rebound Slows

December 1, 2020December 2, 2020 Economy & Markets, Legal & Compliance

Pelosi, McConnell Offer New Stimulus Plans as Rebound Slows Republican plan includes $333 billion in spending on business subsidies, including

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News 

Delaware Floats ‘Best Interest’ Rule for Annuity Sales

December 1, 2020December 2, 2020 Annuities, Annuity Planning, Legal & Compliance

Delaware Floats ‘Best Interest’ Rule for Annuity Sales Like rules adopted by Arizona, Iowa and Rhode Island, Delaware’s proposal would

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News 

CFP Board Taps Ex-SEC Official for New Enforcement Role

December 1, 2020December 2, 2020 Legal & Compliance

CFP Board Taps Ex-SEC Official for New Enforcement Role Thomas Sporkin will soon lead attorneys and legal staff in modernizing

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News 

Agencies to Banks: Be Ready for Libor’s End

December 1, 2020December 2, 2020 Economy & Markets, Fixed Income, Investing Theory & Strategy, Legal & Compliance

Agencies to Banks: Be Ready for Libor’s End One-week and two-month U.S. dollar-denominated Libor rates are expected to cease publication

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Analysis 

Group Calls for Limiting Power of BlackRock, Vanguard & State Street

November 30, 2020December 14, 2020 Economy & Markets, Equities, Funds, Legal & Compliance

Group Calls for Limiting Power of BlackRock, Vanguard & State Street “Outsized footprint” of Big Three “poses new issues” for

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News 

NASAA Adopts Rule on CE Credits for Investment Advisors

November 30, 2020December 14, 2020 Career News & Advice, Legal & Compliance, Wealth Manager News & Advice

The group’s model rule requires IARs to take 12 hours of continuing education each year. (Image: Shutterstock) The North American

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News 

New Advisor Designation Drawing Criticism

November 30, 2020December 2, 2020 Career News & Advice, Independent Broker-Dealers, Legal & Compliance, NextGen Advisor, Wealth Manager News & Advice

New Advisor Designation Drawing Criticism Michael Kitces questions whether clients would really seek out advisors with an Accredited Behavior Financial

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News 

Trump Nominates a Top Bank Regulator as Biden Starts Transition

November 27, 2020December 2, 2020 Economy & Markets, Legal & Compliance

Trump Nominates a Top Bank Regulator as Biden Starts Transition Senate Banking Committee Chair Mike Crapo has signaled Brian Brooks

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News 

SEC Votes to Restrict Shareholder Proposals

September 23, 2020December 2, 2020 Economy & Markets, Equities, Legal & Compliance

SEC Votes to Restrict Shareholder Proposals SEC headquarters in Washington. (Photo: Diego Radzinschi/ALM) The SEC has voted to raise the

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Latest Stories

  • Texas to Liquidate What’s Left of Friday Health’s Operations in the State March 27, 2023
  • Older Workers and Periodic Coverage Reviews: A Medicare Customer Question March 25, 2023
  • Schwab Could Survive Fleeing Depositors: CEO March 24, 2023
  • SEC Charges Lindsay Lohan, Other Celebrities With Crypto Violations March 23, 2023
  • Advisor Charged With Defrauding Clients in Annuity Switching Scheme March 22, 2023
  • What UBS’ Credit Suisse Deal Means for Advisor Recruiting March 21, 2023
  • NASAA Lowers Passing Score for Series 65 Exam March 18, 2023
  • Derivatives Collateral Calls Could Affect Life and Annuity Issuers: Moody’s March 17, 2023
  • Swiss Government Holds Talks on Options to Stabilize Credit Suisse March 16, 2023
  • SEC Getting More Aggressive With Advisor Exams, Ex-Directors Say March 15, 2023

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