Carl Ayers

Transamerica Retirement Advisors paid incentive compensation to its Retirement Planning Consultants for referring employer plan participants to its investment advisor reps

Wells Fargo Advisors charges an advisory fee on cash held in the cash sweep program, as well as cash invested in these other options

Vanguard failed to adequately consider potential capital gains and tax consequences for investors in taxable accounts, resulting in higher tax bills for clients

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"We promoted market integrity, transparency, resiliency, competition, and investor confidence"

These amendments correct errors that are technical in nature, including typographical errors and erroneous cross-references in various Commission rules and forms

This newly released SEC regulatory agenda reflects the priorities of the outgoing Chairman Gary Gensler and may not reflect SEC rulemaking to come under the Trump Administration

The CFTC amends rules governing the types of investments that FCMs and DCOS may make with funds held for the benefit of customers engaging in futures, foreign futures, and cleared swaps transactions. These rules become effective between Feb. 21 and March 31

This new CFTC final rule requires a FCM to ensure a customer does not withdraw funds from its account if the balance would be insufficient to meet the customer's initial margin requirements