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NASAA announces $17m multi-state settlement with Edward Jones
Investigation involved 14 state regulators examining how the firm supervised the transferring of brokerage account assets into advisory accounts.
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Lower court to rehear ESG rule challenge, thanks to Chevron’s demise
US appeals court directs a lower court to reconsider a lawsuit challenging a DOL rule involving ESG factors.
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FINRA Annual 2024: Industry execs take on Gen AI, Reg BI, WFH and more
At the FINRA annual conference, industry executives talked about how SEC and FINRA rules work in practice.
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DOL finalizes fiduciary duty rule to weed out conflicts, bad retirement advice
DOL’s new fiduciary rule is out and will subject many new financial planners and insurance agents to the Employee Retirement Income Security Act.
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US roundup: Discrimination, money laundering, crypto enforcement
Morgan Stanley’s wealth management unit faces scrutiny; move to block SEC use of government money to target crypto, and Citi pays up for illegal discrimination.
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DOL retirement security proposal to update fiduciary standard under ERISA
The new proposal would require a wider array of advisers to achieve high standards of care and loyalty when making investment recommendations.