On a recent webinar, experts spoke about the requirements for plan sponsors and health plan fiduciaries to closely monitor ...

States can now adopt a model rule that will prevent brokers from holding themselves out to the public as "advisors" or ...

The sale of bankrupt EV startup Canoo’s assets to its CEO has been okayed by the judge overseeing the case. After evaluating ...

Claiming that the “plaintiff is jumping on a bandwagon of cookie-cutter plan forfeiture challenges recently brought against dozens of large plans,” AT&T has filed a motion to dismiss the suit.

The 'construct of the DPDP Act' cannot be changed at this stage, though there may be some minor tweaks in the language of the ...

A chief insurance officer discusses why fiduciary liability coverage, employee education and smart communication are ...

SEC Clarifies Marketing Rule, Warms up to Crypto and Private Placements under 506(c), and Backs off Form SHO; Latest Lessons ...

Restrictive covenants and acrimonious litigation between firms and their former advisors undermines trust in the industry, ...

The North American Securities Administrators Association (NASAA) has approved amendments to the group’s model conduct rules built around the SEC's Regulation Best Interest, according to NASAA ...

The dispute outlined in the 103-page complaint, originally filed under seal on April 3 and made public on April 8, is linked ...

NASAA is concerned that the use of advisor/adviser titles can create confusion among investors, who may mistakenly believe ...

A new policy that purports to offer more options for homeowners to list their properties for sale may be a step back for the ...