How one brave federal regulator got the goods on the New York Fed's hands-off policy toward Goldman.
Mary Jo White credits aggressive enforcement and technology, but some question her regulatory zeal.
Under Mary Jo White, agency is more prone to launch disciplinary action to correct violations than in the past
The rule, proposed originally by Finra, will require per-share valuation of unlisted REITs or direct participation program on customer statements.
Social Security and annuities make news, LPL's regulatory headaches continue, and the rest of this week's must-read stories for advisers.
LPL Financial cuts 11 cents a share from its third-quarter earnings forecast after projecting it will need another $18 million to satisfy regulatory concerns.
This week's must-read stories for advisers include employment drama at LPL and Merrill, Bill Gross speaking out, and a renewed push for more women in advice.
Jordan Belfort, whose memoir “The Wolf of Wall Street” was turned into a film by Martin Scorsese, expects to earn more than he made as stockbroker this year, allowing him to repay the victims of his financial fraud, allowing him to repay the victims of his financial fraud.
House poised to approve continuing resolution that freezes SEC budget, while agency's chairman says funding not enough to support expanded adviser exams
Republicans reject SEC user-fee amendment to appropriations bill that would have provided additional funding for adviser exams
Citing concerns over investor protection, SEC commissioners will take up a Finra proposal that would allow arbitrators to alert Finra to broad investor threats during dispute hearings.
More cooperation, aggressiveness leading to uptick in criminal cases
Administrative action follows Federal Court order for adviser Paul Marshall and associated companies to pay fines and disgorgement of more than $15 million.
Republican indicates a preference for enhanced disclosure.
New study pegs the annual cost for industry at $310 million, but fees for individual firms would vary based on AUM.
Despite record revenue at UBS Wealth Management Americas, profits fell in the second quarter as the firm reported that it had to set aside $44M for litigation costs, mostly related to the firm's investments in Puerto Rico.
Muni bond funds face ongoing Puerto Rican woes as Franklin Templeton and OppenheimerFunds challenge legality of Puerto Rican debt law
James “Jeb” Bashaw is now registered with small broker-dealer International Assets Advisory.
Regulators homing in on whether insurers are presenting a picture of performance that's too rosy.
Massachusetts Commonwealth Secretary William Galvin announces payment to reimburse senior citizens for surrender charges paid when switching variable annuities.
