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Finra has made genuine efforts to improve

January 3, 2018

The past year was a time of significant change not only for our industry, but for our regulators, as well. In particular, Finra — where Robert Cook took over as CEO in 2016 — made a concerted effort to adapt to the shifting financial services...

Busting DOL fiduciary rule myths of industry opponents

January 12, 2018

According to the opponents of a new rule designed to ensure that retirement savers get the best advice possible, the entrepreneurial mindset and innovative spirit that has powered the U.S. economy for decades is a thing of the past. They think...

Finra notes compliance pitfalls in first-time release of exam findings

December 6, 2017

Finra released for the first time on Wednesday a summary of findings from recent examinations, highlighting areas where the broker self-regulator's member firms are experiencing compliance shortfalls. The 14-page report is one of the first major...

Brace yourself for more SEC exams

October 11, 2017

The new Securities and Exchange Commission chairman, Jay Clayton, recently testified before Congress that the agency will increase its examinations of investment advisers by 20% in the current fiscal year, and nudge those numbers up a further...

Pennsylvania broker hit with $200,000 fine for 'dishonest or unethical practices'

July 25, 2017

Citing "dishonest or unethical practices in the securities business," the Pennsylvania Department of Banking and Securities on Monday fined a Philadelphia area broker $200,000. According to the BrokerCheck report for the broker, Austin Dutton,...

Supreme Court curbs SEC's power to recoup illegal profits

June 5, 2017

The U.S. Supreme Court put sharp new limits on a favorite tool used by securities regulators to recoup money from people found to have violated federal laws. The justices unanimously said the Securities and Exchange Commission is bound by a...

Finra engages in rulemaking by enforcement: financial industry groups

June 21, 2017

Financial industry trade associations criticized Finra for using enforcement to establish regulatory standards for brokers rather than the formal rulemaking process, in letters to the broker-dealer regulator as part of its self-examination process....

SEC charges former broker with putting customers in unsuitable, risky investments

April 25, 2017

The Securities and Exchange Commission charged a former broker Tuesday with trading leveraged ETFs and ETNs in customers' accounts and misappropriating $170,000 from one of his customers. The SEC says that Demitrios Hall traded 179 daily leveraged...

Rep barred for not disclosing $100 million in private transactions: Finra

June 7, 2017

Correction: An earlier version of this story incorrectly identified Securities America as the firm that employed Jim Seol. He was employed by Ameriprise Financial Services. A Financial Industry Regulatory Authority hearing panel has barred a...

Finra fines former Sterne Agee rep for VA violations

June 7, 2017

The Financial Industry Regulatory Authority has suspended a former Stifel, Nicolaus broker, for four months and fined him $10,000 for engaging in transactions involving variable annuities that allegedly violated Finra rules. In September 2014,...

Puzder withdraws as Trump's Labor nominee amid Republican doubts

February 15, 2017

Andrew Puzder withdrew Wednesday as President Donald Trump's labor secretary nominee as controversy deepened over his personal life and private sector background. Mr. Puzder had been scheduled for a Senate confirmation hearing on Thursday. The...

Finra bars former Hilliard Lyons broker

January 18, 2017

The Financial Industry Regulatory Authority Inc. has barred a former Hilliard Lyons broker who recently settled a customer complaint alleging excessive trading and commissions, unauthorized trades and portfolio mismanagement. Finra on Tuesday...

SEC slaps restraining order on Chicago adviser for allegedly scamming seniors ​

March 27, 2017

The Securities and Exchange Commission has put an emergency asset freeze and issued a temporary restraining order against a Chicago RIA, saying that the adviser and his firm scammed elderly clients out of millions of dollars. Daniel H. Glick...

Elder abuse prevention by advisers depends on their firms' response to new rule

February 15, 2017

Regulators are putting the ball in the court of financial firms when it comes to stopping the finanacial abuse of senior citizens. Earlier this month, the Securities and Exchange Commission approved a Finra rule designed to protect seniors and...

9 ways advisers may have custody without knowing it

October 5, 2017

As complexity in the financial advice business goes, there is nothing quite like the infamous custody rule, which includes a gauntlet of trigger points that can deem a registered investment adviser as having custody. According to SEC filings,...

New Finra CEO Cook will feel heat from both sides of the political aisle

June 13, 2016

When he takes over as president and CEO of the Financial Industry Regulatory Authority Inc. next month, Robert W. Cook will be stepping into a role that has increasingly gained the attention of lawmakers in Washington. Finra on Monday morning...

Finra's longtime critics become its supporters and vice versa

May 4, 2015

Critics of the Financial Industry Regulatory Authority Inc., the industry-funded broker-dealer regulator, have been pining for Congress to delve into the organization's workings with the same fervor it applies to the Securities and Exchange...

Fiduciary foes are spitting into the wind

April 10, 2015

Worried that new fiduciary rules from the Department of Labor and the Securities and Exchange Commission will disrupt your business? Why? All that the new regulations would do is codify what the megatrends of capitalism, technology and social...

Our best tool against the DOL fiduciary rule is data

September 8, 2017

As an advocacy organization, one of our most powerful tools in the ongoing effort to oppose the onerous Department of Labor (DOL) fiduciary rule is to ensure that regulators, lawmakers and the public hear detailed, quantitative information on...

Fundamental principles for corporate governance

May 11, 2014

The following is an edited version of a speech delivered April 21 by Luis A. Aguilar, a member of the Securities and Exchange Commission, as part of the corporate governance lecture series at Emory University School of Law. I would like to focus...

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