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Just in time for March Madness, SEC to launch ads promoting adviser background checks
The multimedia campaign will include 30-second television and radio spots as well as online and print ads encouraging use of the agency's database.
Boost in SEC examiners to enable closer scrutiny of RIAs
Senior columnist Bruce Kelly says the agency going after conflicts of interest means closer scrutiny of RIAs and their businesses.
MetLife weighs spinoff of domestic retail business as CEO seeks less oversight
After non-bank systemically important financial institution designation, insurer is weighing a possible sale, spinoff or public offering
SEC nominee Peirce concerned about agency’s lack of input on DOL fiduciary
In a confirmation hearing, Hester Peirce expressed concern that the agency has not had appropriate input into the Labor Department rule on investment advice.
Ex-Deutsche Bank analyst banned over rating at odds with opinion
A former Deutsche Bank AG analyst once ranked among the best in the U.S. will pay a $100,000 penalty and be banned from the securities industry for a year to settle a regulator's claims that he issued a buy recommendation at odds with his personal opinion.
Finra cracks down on firms for missing discounts on UIT sales
Finra is continuing its crackdown on brokerage firms for failing to give clients discounts for large purchases of investment products.
How the 2016 presidential candidates stack up with advisers
A look at White House hopefuls' positions on issues impacting financial advice.
Donald Trump presidency improbable, not impossible
Surges by the political outsider, as well as by liberal insurgent Bernie Sanders, should make the investment advice industry sit up and take notice
Leon Cooperman’s Omega Advisors said to get Wells notice
SEC said to look into trading in a single security in 2010
How the U.S. government inadvertently launched the ETF industry
But for all their charm, ETFs are an increasing concern to regulators
New association forms to represent mid-sized broker-dealers
The American Securities Association aims to tackle 'Washington's one-size-fits-all approach to industry regulation' it says harms Main Street firms.
SEC nominations could stall amid partisan warfare over Supreme Court vacancy
Will a prolonged fight over who gets to fill the seat of the late Justice Antonin Scalia impact the confirmation of two Securities and Exchange Commission nominees?
Aequitas Capital alts platform implodes, while investors and advisers are kept in the dark
Breakfast with Benjamin The collapse of alternative investments platform Aequitas Capital Management continues to unfold, while investors and advisers are kept in the dark.
Just how much is Hillary Clinton raking in from Wall Street, and what does it mean for advisers?
The Democratic presidential candidate is getting pummeled over the money she's receiving from the financial industry. But at least one of Ms. Clinton's positions shows you can't always follow the money.
Recent class-action surge ups the ante for 401(k) advice
Retirement plan advisers should make sure they have their bases covered to prevent litigation for fiduciary breaches.
SEC set to reform administrative law process
The agency next week will consider changes to the process by which it tries enforcement cases before in-house judges.
SEC loses another case over the use of in-house judges
Federal judge, who issued similar ruling in August, says agency could solve the problem easily.
Sen. Warren, Rep. Cummings accuse financial industry of crying wolf on DOL fiduciary
The Massachusetts senator and Rep. Elijah Cummings, D-Md., assert four large insurance companies are telling regulators and shareholders different tales.
Brokers concerned that senior abuse concerns could lead to costly regulation
They agree with intent of possible legislation, but worry about compliance costs.
Adviser groups step up lobbying as DOL rule nears completion
Organizations opposed to the fiduciary rule invested more in Capitol Hill outreach efforts last year, trying to convince Congress to stop the measure.
