Study probes financial security viability

By Douglas Clark   |   September 13, 2017   |   Industry

A recently released American Council of Life Insurers (ACLI) study found that nearly two-thirds of the nation’s households are on the right track to financial security. ACLI officials said th...

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FINRA oversight discussed at subcommittee hearing

By Dave Kovaleski   |   September 12, 2017   |   Federal

Oversight of the Financial Industry Regulatory Authority (FINRA) was the subject of a House subcommittee hearing held last week. The Subcommittee on Capital Markets, Securities, and Investment exam...

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Fitzpatrick, Gottesman to lead SEC’s trial unit

By Douglas Clark   |   September 12, 2017   |   Federal

The Securities and Exchange Commission (SEC) recently named Bridget Fitzpatrick Chief Litigation Counsel while David Gottesman will continue to serve as the agency’s Deputy Chief Litigation Counsel....

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