Christopher Andreach, who managed about $500 million in assets, rejoined his former firm in its Florham Park, N.J., office after spending only a few months at UBS Financial Services.
The retention period that the IRS will hold on to estate tax and related gift returns will be reduced from 75 to 40 years.
The changes include allowing individuals to retain their qualifications for up to five years provided they keep up with continuing education mandates. FINRA believes the changes will help people more easily return to the industry after extended...
The number of standalone enforcement actions climbed year-to-year from 2020, while whistleblower awards passed $1 billion since issuing its first award nearly a decade ago.
The two states become the 17th and 18th to adopt rules regarding annuity sales and recommendations based on the National Association of Insurance Commissioners’ model rule, following Connecticut, Virginia, Iowa and others.
The SEC’s new plan would scrap added requirements that Republicans say were needed to crack down on conflicts of interest
The charges against Lina Maria Garcia followed previous ones filed in June against UCB Financial Advisers and her partner, Ramiro Jose Sugranes, for a scheme that allegedly cost clients $5 million.
The SEC's and DOL's focus on cybersecurity provides challenges and opportunities for plan advisors.
Basing a product on the spot price of Bitcoin could violate securities rules because the market is too prone to abuse, according to the commission.