State regulators warn FINRA’s proposed Rule 3290 could leave gaps in oversight of brokers’ side businesses and private deals.

After months of waiting for the leaders of the Grand Slams to come up with a plan to reshape tennis and produce billions of dollars in growth, the rest of those in charge of the sport may be on the ...

In November 2023, the U.S. Department of Labor (DOL) released a new proposed regulation changing the definition of fiduciary “investment advice” under Title I of ERISA and Section 4975 of the Code.

While the CFP Board supports the proposal, the FPA has expressed concerns about the DOL rule potentially raising compliance costs for members, increasing the cost of advice and reducing access to ...

The Securities and Exchange Commission (SEC) has retracted 14 rule proposals issued in 2022 and 2023. Our Investment Funds Team examines what the SEC’s withdrawal means for investment advisers going ...

Autozi Internet (AZI) Technology announced that it has received an investment letter from CDIB Capital International Holdings, or CDIB. Pursuant to this letter, CDIB proposes to invest a total of ...

University board members from schools across the country are mounting an opposition campaign to regain control over who at their schools has the authority to sign onto the Big Ten’s $2.4 billion ...

A panel that reviews foreign investments will get new powers to obtain information and levy higher fines under a proposal from the Treasury Department, a move that comes amid intense official scrutiny ...

Corporate governance is a big topic of discussion for investors in Tesla (NASDAQ:TSLA). Despite many top mega-cap tech stocks rallying nicely this year, some even exceeding the returns of the S&P 500, ...

Vice President Kamala Harris‘s presidential campaign recently revealed a plan to raise capital gains taxes on the nation’s wealthiest. And the Democratic nominee’s proposal is a bit of a departure ...