By Jaclyn Jaeger2016-01-06T15:15:00
Image: JPMorgan’s brokerage business has agreed to pay $4 million to the SEC to settle charges that it falsely stated on its private banking website and in marketing materials that advisers are compensated based on client performance, rather than commission. According to SEC Enforcement Division Director Andrew Ceresney, “JPMS ...
2016-02-09T10:30:00Z By Joe Mont
It sounds reasonable enough: hold broker-dealers and investment advisers to a fiduciary standard when they offer investment advice, specifically with retirement plans. Firms, however, fear that pending rules, split between the Securities and Exchange Commission and Department of Labor, are not in sync and unintended consequences will radically alter traditional ...
2025-09-15T20:00:00Z By Aly McDevitt
President Donald Trump is pushing for a shake-up in corporate reporting rules, calling on companies to file earnings with the SEC only twice a year instead of every quarter.
2025-09-12T21:33:00Z By Oscar Gonzalez
AI chatbots are increasingly used by children and teens, prompting the FTC to order seven AI companies to explain how they monitor potential harms to minors.
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