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Lantern Investments Chief Compliance Officer Wendy Lanton will help represent small firms on the regulatory agency's board of governors, while Securities America's Jim Nagengast will continue to represent larger firms.
The SEC claims that Jack Brewer, a former investment advisor, sold shares of penny stock COPsync, a company he consulted for, knowing the stock price would fall.
The rush of comment letters comes on the final day of the comment period for the Labor Department's new proposal to replace the Obama administration's vacated fiduciary rule.
This pandemic has created a window of opportunity for financial advisors to become the “go-to” person among their clients, prospects, COI and everyone in their orbit. Here's how.
Beyond an attempt to reverse Reg BI, the industry could also see a number of securities regulation reforms if Joe Biden wins the presidential election.