Mary Jo White took over the Securities and Exchange Commission with a back-to-basics plan to toughen enforcement and clear a backlog of regulations aimed at the last financial crisis.
President Obama's proposal to alter overtime pay rules reignites a debate over who should be compensated for extra hours. Should advisers be compensated for hours worked outside the traditional work week?
Firm to offer another way besides public listing for REIT sponsors to provide liquidity to investors.
Comment letters show independent B-Ds want no part of it, while wirehouses are all for it.
Joins JPMorgan Chase in settling charges it misrepresenting the quality of mortgage-backed bonds sold to investors as housing prices plummeted.
Commissioner Daniel Gallagher says adviser stats likely equal to registered rep stats from Finra.
In risk alert, regulator provides advisers with a detailed checklist of what it expects firms to provide for cybersecurity protection.
Arbitration awards have been flat for two years but two big ones looming on the horizon show brokers still grappling with real estate bubble fallout.
Brokers' exam scores, exam failures, terminations and other details that are currently omitted are already public information.
Using gamification can help further conversations.
SEC Commissioner Daniel Gallagher's proposal that RIAs be required to hire third-party examiners to audit their operations shouldn't be rushed.
House would be next to take up the bill, which could help financial advisers' clients
A judge has frozen client assets managed by Professional Investment Management.
Implementing a rule that would require mandatory background checks on new brokers could help uncover crucial information
Arbitration panel orders Golden Beneficial Securities to pay for failure to supervise
Global regulators face a backlash from some of the world's largest asset managers including Pacific Investment Management Co., Fidelity Investments, and BlackRock Inc. over plans that could single them out for tougher regulation.
On today's <i>Breakfast with Benjamin</i> menu, the housing recovery might have fizzled out. Plus more on junk bond yields, a big Barclays fine and much more.
Congresswoman encourages growth in number of female financial advisers.
Nicholas Schorsch's American Realty Capital Advisors and rival nontraded-REIT sponsor KBS Capital Advisors are locked in a legal battle over proprietary information and trade secrets. Bruce Kelly reports.
