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Texas securities regulator cracks down on firm selling pension streams
Company accused of making “misleading and deceiving” statements to investors
State regulators work on uniform approach to elder financial abuse
New measures are aimed at encouraging brokers to notify authorities when they suspect someone is trying to scam one of their clients.
State officials to flag brokers with disciplinary history selling insurance
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.
State regulators to require continuity plans
Individual states will need to adopt model rules outlining policies investment advisers should have in place in case of natural disasters or death.
The countdown for DOL to advance its fiduciary rule ticks loudly
With the comment period ended and extensive changes requested, the task ahead in the Obama administration's remaining time is formidable.
SEC ship won’t become a speedboat in wake of Gallagher departure
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.
LPL says competitors could be on hot seat with regulators
As inquiries into the broker-dealer wind down, regulators' focus could turn to others in the industry, CEO Casady says.
How a weekend client raid blew up and a brokerage battle went public
Arbitration case alleges that Oppenheimer & Co. stepped beyond the bounds of propriety in mounting a client raid on Peter Schiff's Euro Pacific over a three-day weekend this summer.
Finra cracks down on ‘cockroach’ brokers
Finra bars 10 at New York broker-dealer Global Arena Capital Corp. after investigating brokers who migrated from an expelled firm.
Former Morgan Stanley broker in Post-it notes insider trading case pleads guilty
Traded on insider corporate tips he got from a middleman who showed him secret notes before chewing and swallowing them at New York's Grand Central Terminal.
Fired by Merrill, now barred by Finra: Thomas Buck stops here
Thomas Buck was fired from Bank of America Merrill Lynch in March. Now Finra has barred the former top broker, who had joined RBC Wealth Management.
Regulators zero in on protecting elderly investors
Finra files cease-and-desist order against brokerage firm for sales to older customers.
More advisers simulating SEC exams to expose gaps before regulators come knocking
More advisers are turning to practice exams to help evaluate compliance risks and identify oversight gaps before the SEC comes knocking.
Why a federal judge tossed out the Camardas’ case
U.S. District Judge Richard Leon made public Tuesday his opinion in a lawsuit over CFP Board's disciplinary action related to adviser use of the 'fee-only' label.
How partisan politics have poisoned the SEC
Washington's political atmosphere makes the panel too adversarial to get anything done.
We must reform ourselves before the regulators do it for us
To thrive as a profession, we need to better demonstrate what it means to be a profession by putting our clients' interests before our own
The next REIT privatization wave is underway
Breakfast with Benjamin: The swelling gap between public and private valuations is making REITs a sweet target.
Massachusetts’ Galvin to investigate alternative fund sales by advisers
Sales of 25 top 'liquid alts' mutual funds will come under greater scrutiny from the state regulator.
Advice-industry leaders welcome Ryan’s focus on getting things done in Congress
Possible speaker of the House of Representatives understands issues important to advisers better than most lawmakers.
Advisers warned federal government shutdown could cause more market volatility
Forget China and the Fed. Washington becomes the focus with Sept. 30 deadline for funding looming.
