Displaying 10201 results
Building traffic to BrokerCheck
The question for Finra: How deep is their resolve to make BrokerCheck as popular as services like Yelp, TripAdvisor or Angie's List?
Republicans want to see cost-benefit analysis before SEC proceeds on fiduciary
Today's hearing on 2016 budget discussed the DOL rule as well, with a lawmaker asking Chairwoman Mary Jo White, 'Why are you allowing the Labor Department to take over your territory?'
Former Edward Jones adviser faces jail time
Breakfast with Benjamin: A former Edward Jones adviser is sentenced to five years in the slammer for bilking a disabled woman out of more than $100,000.
Intel sued for investing employee 401(k) funds in hedge funds, private equity
Lawsuit alleges 401(k) and profit-sharing participants invested in tech firm's custom target-date series and global diversified fund lost hundreds of millions of dollars.
Gold rises from the dead
Breakfast with Benjamin: A dead asset no longer, gold shines bright above its 200-day moving average for the first time in five months.
Advisers missing major wrinkle in DOL’s fiduciary rule
Proposal would force RIAs to comply with both the SEC standard and Labor Department's rule, FSI says.
State securities regulators put out proposal to protect seniors
Proposal would clarify brokers' and advisers' responsibilities in cases of suspected elder abuse
Americans more ready for retirement than ever
Compared to other nations, we have a substantial head start in building a sound, funded solution for the challenges of aging populations
Two SEC commissioners nominated
Democrat Lisa Fairfax and Republican Hester Peirce have academic backgrounds and sit on the agency's Investor Advisory Committee.
Managing the convergence of compliance and technology
A common thread across technology-driven breaches is the failure of firms to establish and enforce policies and procedures.
Mary Jo White’s record scrutinized by critics and supporters
As she enters what could be her last year as chairwoman of the SEC, experts grade Mary Jo White's performance.
Adviser running for Congress wants to protect Dodd-Frank reforms
Candidate says clients and constituents, virtually unfazed by recent market turbulence, need a level playing field for financial advice.
Mary Jo White has earned a B- as SEC chairwoman
Heading a huge, highly visible agency in the wake of a financial crisis results in ups and downs for Mary Jo White.
Here are the most sensational parts of Bill Gross’ suit against Pimco
From how much money the money manager's executives make, to jabs at former colleagues, the lawsuit is chock-full of internal intrigue.
Hillary Clinton’s plan to prevent stock market crashes
Breakfast with Benjamin The Democratic candidate proposes new fees for taking investment risks, because taking investment risks aren't risky enough already, or something like that.
Does Hillary Clinton want to protect the DOL fiduciary rule?
A letter to Democratic colleagues warns against riders attached to spending bills in upcoming budget negotiations.
SEC unable to lift temporary ban on in-house judges
Judge rules the agency did not meet the criteria for a stay and “has not demonstrated likely success” in its argument that the administrative law judge process is constitutional.
Finra creates task force to determine arbitration improvements
Over the last several years, the Financial Industry Regulatory Authority Inc. has undertaken initiatives to reform the investor…
Overstating AUM a sure way to get regulators knocking on your door
In one recent case, regulators charged an RIA's president, vice president and chief compliance officer. The firm is no longer in business.
SEC’s White: Fiduciary battle far from over
Chairwoman tells lawmakers agency will proceed at own pace, separate from DOL, on raising investment advice standards.
