Results for "regulation"

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Behind closed doors: The big problem with how the SEC is getting insights from investors

July 19, 2018

Usually when I receive a news release about an upcoming event on my beat that's occurring at at the Securities and Exchange Commission, I put it on my coverage calendar and just show up. Something moved me to register for the recent investor...

The SEC knows what's best

July 19, 2018

As the father of three kids, I'm keenly aware that in the age of descriptor inflation, good things are called "the best," a great meal is "amazing," something funny is "hilarious" — you get the idea. Up until the 1980s, when investors wanted...

An advisor's guide to engaging the modern family

July 17, 2018

The following is an excerpt from the new white paper from Cadaret, Grant & Co., Inc. and the InvestmentNews Content Strategy Studio, “An Advisor's Guide to Engaging the Modern Family". The following scenario is all too common: An advisor works...

Hillary Clinton would have saved the DOL fiduciary rule

June 22, 2018

By fall 2016, I had pretty much given up trying to get an answer from Donald J. Trump's presidential campaign about its position on the Labor Department's fiduciary rule. Then in October, I saw Anthony Scaramucci in the lobby of the Mayflower...

It's official: DOL fiduciary rule is dead

June 21, 2018

After a long delay, the U.S. Fifth Circuit Court of Appeals confirmed Thursday a March decision to strike down the Labor Department's fiduciary rule. The court issued a mandate making effective the March 15 split decision that vacated the DOL...

5th Circuit mandate to vacate DOL fiduciary rule 'still pending'

June 1, 2018

As death watches go, the vigil over the Labor Department's fiduciary rule has been a long one. Back on March 15, the 5th Circuit Court of Appeals struck down the regulation in a 2-1 decision. The Department of Justice, on behalf of the DOL,...

How the SEC advice rule improves on the DOL fiduciary rule

May 29, 2018

The Department of Labor building is a mere 0.7 miles from the Securities and Exchange Commission. I've had meetings at both offices many times in the last three years. Some celebrate the 5th Circuit Court of Appeals' decision to vacate the fiduciary...

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...

All is not lost when it comes to the mortgage interest deduction

May 9, 2018

The recently enacted tax reform package changed the way we think about itemized deductions by placing caps on some items and outright repealing others. The change that's garnered the most attention is the new $10,000 cap on the state and local...

Broker fired over VA exchange irregularities barred by Finra

June 4, 2018

The Financial Industry Regulatory Authority Inc. has barred former Huntington Investment Co. broker Ellen Vratoric for failing to take part in two hearings looking into customer complaints regarding a variable annuity exchange. In March 2016,...

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...

NY Attorney General Underwood files 99-count criminal indictment against investment adviser

May 30, 2018

Former Sterne Agee adviser Dean Mustaphalli is facing a 99-count criminal indictment that charges him with securities fraud, grand larceny, forgery and a scheme to defraud. If convicted, Mr. Mustaphalli faces up to 20 years in prison. According...

As curtains close on DOL fiduciary rule, SEC advice rule takes center stage

May 3, 2018

It's appropriate that the likely demise of the Labor Department's fiduciary rule occurred during the same week that Tony Award nominations were announced. A day after the productions and performers competing for Broadway's top honors were revealed,...

SEC advice rule faces arduous journey

April 30, 2018

On April 18, the Securities and Exchange Commission released its much-anticipated "fiduciary" rule proposal, "designed to enhance the quality and transparency of investors' relationships with investment advisers and broker-dealers while preserving...

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...

One adviser's journey to becoming a citizen advocate

April 18, 2018

Some of the most rewarding experiences my team and I at the Financial Services Institute encounter as advocates for our industry come when we see the proverbial "light'" click on for our adviser members and we get a front row seat as they grow...

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,...

Clayton: SEC left 'fiduciary' out of new advice rule to avoid investor confusion

May 23, 2018

Securities and Exchange Commission chairman Jay Clayton said the agency's proposal to raise investment-advice standards for brokers doesn't use the term "fiduciary" because it would have confused investors about the distinctions between brokers...

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....

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,...

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