Results for "Mark Schoeff Jr."

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Finra launches helpline for small-firm members

January 22, 2018

Finra launched a helpline for small-firm members on Monday to answer "general and routine" compliance questions. Financial Industry Regulatory Authority Inc. personnel will be available on the helpline from 9 a.m. EST until 5 p.m. EST Monday...

Cutting through the red tape of adviser regulation is tricky

January 20, 2018

Although the Trump administration has made a rollback of regulations a top priority, the pace of rulemaking and oversight is set to pick up this year for financial advisers. "Folks have a misconception about how things get done in Washington,"...

When can advisers expect an SEC fiduciary rule proposal and other regs this year?

January 19, 2018

Managing editor Christina Nelson and senior reporter Mark Schoeff Jr. discuss regulations of consequence to financial advisers in 2018, and their likely timing.

Finra releases budget for first time, foresees declining operating revenues

January 18, 2018

Finra projects declining operating revenues this year but will not raise membership fees in 2018, the broker-dealer regulator said Thursday. In its first-ever publicly released budget summary, the Financial Industry Regulatory Authority Inc....

Legislation would make it harder for investors to sue mutual funds over high fees

January 17, 2018

[Update: On Jan. 18, the House Financial Services Committee approved the Mutual Fund Litigation Reform Act, 31-25.] Legislation that would make it more difficult for investors to sue mutual fund companies for excessive fees was poised to advance...

Supreme Court review of SEC judges could roil pending cases

January 16, 2018

A Supreme Court case on the Securities and Exchange Commission's use of internal judges could put into limbo more than 100 pending enforcement actions but may not end the agency's ability to adjudicate such matters on its home court. On Jan....

Fiduciary groups urge SEC to prevent brokers from using 'adviser' title

January 12, 2018

Fiduciary advocates are urging the Securities and Exchange Commission to prohibit brokers from calling themselves "financial advisers," as the agency considers a regulation that would raise investment advice standards. One of the biggest sources...

Bill requiring fiduciary disclosure reintroduced in New Jersey

January 11, 2018

New Jersey state lawmakers introduced legislation this week that would require financial advisers to disclose their fiduciary status to investors. Under the measure, advisers who do not have to meet a fiduciary standard must tell clients in...

Court decision on DOL fiduciary rule expected in February

January 10, 2018

A major court decision could be released on a lawsuit over the Labor Department's fiduciary rule after the partying is over next month on the Bayou. Opponents and advocates of the regulation have been waiting for months for the Fifth Circuit...

Finra warns brokers about moving clients from broker to advisory accounts

January 8, 2018

Finra warned brokers on Monday to be careful when moving clients between brokerage and advisory accounts. The guidance was contained in the broker-dealer self-regulator's annual regulatory and examination priorities letter. As is the case in...

State regulators warn investors about cryptocurrency dangers

January 4, 2018

State securities regulators warned investors Thursday to be careful when putting their real money into virtual money. The North American Securities Administrators Association released a statement outlining the weaknesses of cryptocurrencies,...

House GOP seeks to preserve spending rider to kill DOL fiduciary rule

January 3, 2018

House Republicans will seek to preserve a provision of the chamber's spending bill that would kill the Labor Department's fiduciary rule as they negotiate a measure to fund the government. Republican and Democratic House and Senate leaders were...

What to expect on the regulatory front in 2018

January 2, 2018

The Securities and Exchange Commission enters 2018 with five members for the first time in more than two years. Now at full strength, the agency should be able to better pursue Chairman Jay Clayton's agenda, according to Karen Barr, president...

CFP Board touts revised standards in $80,000 Wall St. Journal ad

December 22, 2017

The Certified Financial Planner Board of Standards Inc. is spending nearly $80,000 to take out a full-page ad in the Wall Street Journal Friday to tout its revised advice standards. The new rules would require all CFPs, including brokers who...

New DOL, SEC officials help advance fiduciary rule work

December 22, 2017

Three new officials — one at the Labor Department and two at the Securities and Exchange Commission — will help the agencies advance their work on investment advice standards. Before leaving Washington for its holiday break on Thursday,...

Finra advances proposals to clarify outside business activities, churning rules

December 21, 2017

An upcoming Finra rule proposal would make it easier for brokerages to determine whether their representatives are engaging in harmful activities away from the office. At its meeting last week, the board of the Financial Industry Regulatory...

Finra will publish budget for first time in 2018

December 20, 2017

Finra will publish its 2018 budget early next year, marking the first time that the broker-dealer self-regulator has made the document public, the organization announced on Wednesday. The Financial Industry Regulatory Authority board approved...

CFP Board modifies details of revised standards but maintains strengthened fiduciary duty

December 20, 2017

The Certified Financial Planner Board of Standards Inc. released today a second round of revisions to its code of ethics and standards of conduct. It maintains higher advice standards for the credential but eases some disclosure requirements...

Final tax bill gives pain, relief to financial advisers

December 18, 2017

A congressional agreement on sweeping tax-cut legislation reached late last week is causing consternation among some investment advisers because it will end tax deductions for advice. That is one ramification of a massive bill Republicans hope...

Regulators showing renewed interest in cracking down on investment fees

December 14, 2017

Regulators are putting increasing pressure on financial advisers who try to augment their income by putting clients in high-fee funds or ones that offer revenue sharing. Recently, the Securities and Exchange Commission and the Financial Industry...

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