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Fiduciary institute ads take stance against broker dealers

Fiduciary institute ads take stance against broker dealers
insurancenewsnet.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from insurancenewsnet.com Daily Mail and Mail on Sunday newspapers.

United statesDoug baileyKnut rostadDan solinYesenia realejoMerrill lynchInstitute for the fiduciary standardConsumer federation of americaExchange commissionKinder institute of life planningFiduciary standardBroker dealersRegistered investment advisorsConsumer federationKinder instituteLife planning

SEC penalizes small Wisconsin B-D $50,000 over Reg BI faults

The SEC said Friday it reached a $50,000 settlement with a small firm in Wisconsin, Carl M. Hennig Inc., for violating Reg BI.

United statesKnut rostadThomas harenburgAxel springerCarlm hennigCarlm hennig incExchange commissionInstitute for the fiduciary standardRegulation best interestTrade trap

NASAA seeks to incorporate Reg BI into conduct rules

NASAA seeks to incorporate Reg BI into conduct rules
financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.

United statesMark quinnSteve bouchardWilliam galvinAllison mutschlerKnut rostadExchange commissionMassachusetts supreme judicial courtFinancial services instituteRed bankInstitute for the fiduciary standardCetera financial groupAmerican securities administrators associationUnethical business practicesRegulation best interestRobinhood markets

Court upholds fiduciary rule for Robinhood, other brokers

Court upholds fiduciary rule for Robinhood, other brokers
financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.

University of nevadaUnited statesSuffolk countyLucas moskowitzKnut rostadMichael ricciutiLas vegasBen edwardsStephen hallWilliam galvinSupreme judicial courtMuch of the massachusetts supreme judicial courtSecurities divisionExchange commissionMassachusetts supreme judicial courtSuffolk county superior court

Massachusetts highest court hands a win to state-level securities regulation in Robinhood case

Secretary of the Commonwealth William Galvin in 2020 filed a complaint against Robinhood complaining of the platform’s gamification of trading by advising customers “without considering whether those recommendations were in each customer's best interest."

New yorkUnited statesJustice dalila argaez wendlandtWilliam galvinLucas moskowitzPatrick sisonKnut rostadInstitute for the fiduciary standardExchange commissionSupreme judicial courtSecurities divisionFiduciary ruleMassachusetts uniform securities actCommonwealth william galvinSupreme judicialDalila argaez wendlandt