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Greenback rallies ahead of the Fed minutes

August 20, 2014

The Dollar's shining moment ahead of the latest Fed minutes. Reading the Fed's tea leaves The Fed's annual Jackson Hole meeting and the markets. Past performance is no indication of future returns, but that doesn't mean we can't hold out hope....

Audit deficiencies could lead to higher regulatory costs for B-Ds

August 20, 2014

For the third year in a row, a federal watchdog has found shortcomings in the audits of broker-dealers, a trend that could lead to the firms spending more to get their books reviewed. Earlier this week, the Public Company Accounting Oversight...

Ex-Morgan Stanley broker loses nearly $1M but gains 100K in Finra arb case

August 20, 2014

A former Morgan Stanley broker was ordered to repay almost $1 million in a promissory note case but managed to eke out a small victory in an unusual twist. While an arbitration panel held Tomas Lenze liable for nearly the entire remaining loan...

DOL eyes brokerage windows in 401(k) plans

August 20, 2014

The Labor Department is setting its sights on brokerage windows in 401(k) plans, requesting information from the industry on the types of choices available and how much is disclosed to participants. The DOL Wednesday released its request for...

Senior investor concerns, abuse get more regulator attention

August 19, 2014

A panel of state securities regulators will explore problems of elder financial abuse that can arise from a combination of aging baby boomers, complex financial products and retirement nest eggs that are attractive to scammers. The North American...

Mary Jo White: Money market reform tops the SEC's list

August 17, 2014

The following is an excerpt from Securities and Exchange Commission Chairman Mary Jo White's opening comments at its open meeting on money market fund reform July 23. Over the last several decades, money market funds have become a critical part...

Finra panel smacks Morgan Stanley with $4.5M arbitration award

August 15, 2014

Morgan Stanley & Co. Inc. lost a $4.5 million Finra arbitration dispute on Friday to Banco Nacional de Mexico SA, the Mexican bank known as Banamex. The bank's fiduciary division sued Morgan Stanley in 2012 alleging fraud, negligence and other...

Adviser movement heats up the dog days of summer

August 15, 2014

It was a week of departures in the adviser space. LPL Financial saw more high-level turnover as its chief market strategist, Jeffrey Kleintop, heads to the Charles Schwab Corp. Firms' ability to tell when one of their brokers is on the verge...

LPL's chief investment officer reads market tea leaves

August 15, 2014

LPL Financial's chief investment officer, Burt White, thinks the broad stock market is on track to produce gains of 10% this year, with room potentially to move slightly higher. Mr. White's mid-year outlook for the Standard & Poor's 500 Index...

Finra tacks on more time to REIT pricing change

August 14, 2014

Finra is continuing to tack on time to the widely anticipated rule change that would give investors a clearer picture of what it costs to buy shares of nontraded real estate investment trusts and other direct placement programs, an industry...

SEC cracks down on wrap accounts

August 14, 2014

The Securities and Exchange Commission's attempt to ferret out conflicts of interest at registered investment advisers has zeroed in on potential misuse of popular flat-fee wrap accounts. The SEC made the vehicles an examination priority this...

Bill Gross disciple takes down the 'Bond King'

August 13, 2014

Bill Gross gets beaten at his own game, as a former disciple takes down the bond king. The student becomes the master The SEC is homing in on alternative-strategy mutual funds, with BlackRock and AQR Capital in its sights. Kicking off regulatory...

SEC seeks to delay principal trading rule for two years

August 13, 2014

The Securities and Exchange Commission is seeking to extend for the third time in four years a temporary rule that makes it easier for investment advisers who are dually registered as brokers to sell from their firms' proprietary accounts. On...

LPL cranks up oversight in response to regulators

August 11, 2014

Echoing recent comments from other brokerage executives, LPL Financial CEO Mark Casady told an audience of 3,500 advisers on Monday that securities regulators have ratcheted up oversight to new levels. “We are asking more from you in documentation...

What last week's junk bond selloff means for stocks

August 11, 2014

Why last week's junk bond selloff could be a sign of trouble for stocks. Antiquated trading system exposes risks Morningstar advises going back to the basics with bond funds, points out some weaknesses in popular nontraditional bond funds. Bank...

JPMorgan's fund choices for its clients said to be under regulatory review

August 11, 2014

The Securities and Exchange Commission is reviewing whether conflicts of interest led JPMorgan Chase & Co. to sell certain investment products to individual clients, according to a person briefed on the matter. The review is at an early stage,...

Dodd-Frank strikes again

August 10, 2014

Just when more sophisticated individual investors have become more comfortable with the idea of investing in hedge funds, the universe available to them might become far smaller. The investment banks that provide prime brokerage services to...

B-Ds taking it on the chin from regulators

August 8, 2014

Broker-dealers have been taking it on the chin from regulators lately, with three retail firms in the past couple of weeks disclosing disappointing earnings related to compliance and regulatory issues. Where does this rash of regulatory actions...

REITs, RIA regulation, retirement planning and risk grab advisers' attention

August 8, 2014

Four R-words drew advisers' attention this week: risk, regulation, retirement planning and REITs. Specifically, the CEO of a real estate investment firm broke down the hidden duration risks in nontraded REITs. An RIA got hammered with a $15...

States take auto IRAs into own hands while Washington dawdles

August 7, 2014

Maryland and Connecticut launched efforts this week to develop policies to increase retirement savings among residents, taking on an issue that is languishing in Congress. On Thursday, the Governor's Task Force to Ensure Retirement Security...

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