NASAA also backs SEC exam user fee, wants crowd-funding redress.
Agency still hasn't gotten down to brass tacks on what rule would cost
Don't crank out those arb contracts just yet. Finra is challenging a ruling that OK'd waiver contracts, in which a client signs away the right to file a class-action lawsuit.
Orders Securities and Exchange Commission to pay back $7,500 fine.
Insurer failed to disclose to retirement plan clients that it kept investment gains related to late trades.
This week, an investor filed a lawsuit against Tony Thompson. Bruce Kelly fills in the details about the latest headache for the noted real estate investor.
Move could ease bottlenecks, bring state more in line with most others.
A Finra arbitration panel has ordered Cambridge Legacy Securities to pay an investor $1.5 million over private placements
Commission steps up efforts to hold mutual fund directors accountable for accurately priced assets
But keeping investors out of actively managed funds would help, says BC research center
Extra $256 million would allow agency to hire hundreds of examiners.
Crapo cites her commitment to economic analysis of rules.
But SEC chair nominee says some benefits can't be quantified
Pensioners bump muni bonds from senior debt status
Proposal would more closely align treatment of partnerships and S Corps
Lawyers are worried that the main statute used to prosecute Richard Goble for fraud in 2008 has been undercut by a federal appellate court decision
Overturns Goble's fraud conviction; lifetime ban from securities industry now up in the air
A onetime Finra examiner says he uncovered a glitch in the SRO's risk-rating system — and was subsequently fired for threatening to go public with the discovery. Now, he's suing for $25M.
