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SEC's Gary Gensler takes aim at robo-adviser investing strategies

SEC chief Gary Gensler raised questions about the effects behavioral prompts have on robo-adviser clients.

Scott smithSusan schroederGary genslerExchange commissionFinancial industry regulatory authority incInvestor advisory committeeExchange commission chief gary genslerFinancial industry regulatory authorityIslamic shariah

SEC fines 12 firms total of $292,523 in Form CRS enforcement actions

The SEC fined 12 financial firms a total of $292,523 for compliance failures related to Form CRS, in its second round of enforcement actions.

Sanjay wadhwaBiddle reathSusan schroederJim lundyExchange commissionArthur zaske associatesChurch gregory adams securities corpEnforcement divisionJk financial servicesWinning edge financial groupHinsdale associatesRegulation best interestWall streetFaegre drinker biddleWall street accessArthur zaske

5 CFO trends to watch in 2022

CFO news

IrelandWilmer cutlerJerome powellTim glowaChitra balasubramanianSusan schroederKyle poyarIan shepherdsonExchange commissionSenate banking committeeCenter forwardCarolina state universityBiden administrationFederal reserveLabor departmentChair jerome powell

Views: Letters to the Editor -- Millbury residents can build anything

As predicted, 192 Millbury Ave. owner will be building the 9-by-20 foot, 10-foot high paved parking area, extending 40 feet behind her building.

Terry burke dotsonSusan schroederMillbury concomPlanning boardMillbury zoning

Wells Fargo, UBS, LPL and other firms settle flurry of FINRA cases

A self-reporting program on 529 plan share classes yielded five more settlements, and wealth managers agreed to pay a combined $15 million.

Nicole iannaroneSusan schroederMediation committeeMerrill lynchAdvisor groupCollege savings plan networkNational arbitrationWells fargoFinancial planningCollege savings planDrexel universityRegulation and complianceRiskFinancial crimes

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