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U.S. regulators said they plan to deny proposals for a new breed of actively managed ETFs that would be allowed to keep their holdings under wraps for months at a time.
For the second day in a row, a top SEC executive stressed that protecting baby boomer retirees is a key objective of the agency.
Big financial institutions may give cyber-security assistance to financial advisors and other companies in their supply chains, said the head of the FBI's cyber division.
A top priority next year for SEC examiners of RIA firms will be what kind of recommendations baby-boomer clients get when they roll over retirement plans into IRAs, says an agency official.
The Financial Planning Coalition says there are insufficient regulations for financial planners and members of the public are the ones being hurt because of it.
UBS is sticking with its recommendations that some clients buy risky Puerto Rico closed-end bond funds, despite hundreds of arbitration claims by investors, says an internal document.
A former Ameriprise financial advisor and securities agent pleaded guilty to defrauding her clients out of nearly $1 million.
Calls for tighter controls on elder guardians pervaded the seminars and hallways of the American Bar Association’s National Aging and Law Conference.
Elder abuse in the reverse mortgages is high on the Consumer Financial Protection Bureau’s radar screen, according to senior legal advocates.
A former UBS AG branch manager's pay discrimination case in Puerto Rico highlights behavior some lawyers say can give brokerages an edge in arbitration: breaking discovery rules.
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