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A recent study suggests sales of "expensive" VAs fell as a result of the vacated rule. But there are other factors at play, writes Raymond James' Scott Stolz.
October 16
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The regulator would generate an additional $225 million per year from the fee increases.
October 9
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Insiders see a Democratic administration backing tightened investor protections as industry advocates look to tax legislation.
October 8
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The advisor allegedly carried out a 20-year scheme defrauding at least 15 clients through forgery and misrepresentations.
October 7
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The advisor allegedly used an omnibus trading account to help himself and hurt his clients to the tune of tens of thousands of dollars, according to the regulator.
October 5
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The Managed Funds Association urged the agency to do more analysis before moving forward.
October 5
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Director tenures, nominations and committees are changing after an independent task force identified weaknesses.
October 1
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The discrimination case revolves around allegations of disparate treatment in the firm’s agency distribution channels.
October 1
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The Justice Department filed two counts of wire fraud against the firm but agreed to defer prosecution under a three-year deal that requires the bank to report its remediation and compliance efforts to the government.
September 29
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Actions hit a nine-year high and restitution climbed to the highest total since 2013 — even before the rule’s heightened scrutiny.
September 25
