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The new rule would demand that registered representatives would need written approval from their firm to act as a beneficiary, trustee or executor, or hold power of attorney for a client.
They may not think of themselves as wealthy, but government employees can often approach their financial planning as if they are, thanks to an attractive collection of benefits.
The SEC said the charged individuals worked in boiler rooms soliciting investors while they received commissions from sales of securities they were asked to promote.
Even as the Trump administration races to finalize a rule restricting ESG investments in retirement plans, there are still a number of ways in which a Democratic win next week could reverse the decision, according to a panelist at Money Management...
