Regulation & Compliance

Allegedly, James Heafner of Taylor Capital Management invested funds from five retirees with a company charged by the SEC with defrauding thousands of investors.

The regulatory agency also announced a conference detailing how brokers, firms, leaders and regulators should prepare for the implementation of the SEC's rule next year.

The Greater Boston Chamber of Commerce is sending an email to members today to stir opposition to Massachusetts Secretary of the Commonwealth William Galvin's proposed fiduciary rule, according to the Boston Globe.

More choices and lower pricing can protect your clients’ interests and safeguard your practice.

The SEC and Massachusetts collaborated on the investigation, which found the co-principals of Strategic Planning Group failed to disclose conflicts of interest.