<i>Breakfast with Benjamin</i>: Now that hedge funds have the green light to market their wares, they're zeroing in on independent advisers.
Ten representatives send letter calling on the agency to fix problems with exemptions for compensation practices and investor education.
Claim is tied to so-called “Whopper” broker Jose Gabriel Ramirez Jr., who faces raft of claims related to closed-end funds.
As part of its focus on custody violations, the SEC is examining cases in which clients give advisers their usernames and passwords.
Spending resolution expected to pass the House but will only fund the government through early December.
State regulators, Finra, SIFMA say their approach would clarify charges to investors, yet commissions and advisory fees are left out of the plan.
Regulatory exams should be just as frequent for advisers as they are for brokers.
New liquidity rules would require mutual funds and ETFs to develop risk management programs and allow for 'swing pricing.'
Proponents' dollars lag this year, with a focus on grass-roots action.
A two-sided debate about the FPC's stance on the proposed fiduciary rule.
A new study claims the SEC double counts some cases and loads up in September to boost fiscal year numbers.
Group says enforcement needs clarity; among 28 recommendations to the agency.
Fintegra is working to come up with a plan to save the company as its net capital falls below regulatory requirements.
Firm wins a temporary restraining order against four advisers accused of sabotaging the wirehouse when they jumped to UBS.
Company accused of making “misleading and deceiving” statements to investors
New measures are aimed at encouraging brokers to notify authorities when they suspect someone is trying to scam one of their clients.
The National Association of Insurance Commissioners to launch program to inform state insurance officials about agents in their state who have a disciplinary history with Finra.
Individual states will need to adopt model rules outlining policies investment advisers should have in place in case of natural disasters or death.
With the comment period ended and extensive changes requested, the task ahead in the Obama administration's remaining time is formidable.
With almost no chance a successor will be on board by Oct. 2, the then four-person commission should progress without interruption – or acceleration – to Chairwoman Mary Jo White's agenda.
