Actions compromised independence of embattled broker-dealer, TNP Securities, Finra says.
Following a controversial court ruling, Finra could be flooded by reps looking to clean up their BrokerCheck files.
Industry watchdog sets background checks and reviews for arbitrators after one panelist failed to disclose legal problems.
Reps are willing to deal with the 'substantial costs' of a uniform fiduciary duty, says a SIFMA exec — provided the SEC gives clear guidance for compliance.
Gregg, Bentsen hired to lead securities industry group; want DOL to ditch fiduciary reform.
A new SEC will soon be in place. That means SRO champion Elisse Walter will be gone — and with her, the push for a broker SRO.
Stein, Piwowar noted for reaching across party lines; 'working relationship'
Stein, Piwowar not prone to partisanship, observers say; plenty of big issues left hanging
Two pension funds accused the company of collecting “grossly excessive” compensation from securities-lending returns linked to iShares
New regulations for brokers who control their clients' cash will go a long way toward preventing another client rip-off like the Bernard Madoff Ponzi scheme, the SEC commissioner said.
Chairman says investor advocacy recommendations 'in my briefcase every day and every night.'
The SEC would gets its requested 33% budget increase, according to a bill approved by a Senate panel. But will both the House and the Senate sign off on the bump up?
Extra time needed to iron out complexities, prepare for coverage mandate.
Action related to Provident Royalties, found to be a Ponzi scheme.
Roper says rule fails to protect retail investors from potential scams; 'no credibility left'
Finra barred a broker over allegations that he stole $4.2 million from two clients, one of whom Finra says suffers from Alzheimer's disease.
Advancing on money market reform with unanimous commission gets praise.
