In formal investor alert, SEC, Finra say spamming in "high gear."
The record fine Finra meted out to LPL for failing to oversee its e-mail system is just the latest in the regulator's crackdown on digital diligence, reports Dan Jamieson.
Department seeking comments before proposing formal method.
The battle between Finra and Schwab over class-action waivers is not done. Lawyers say the case could get swept up in the national debate over consumer rights -- and ultimately end up before the Supreme Court.
More brokerage firms are expected to demand that customers give up their right to file class actions against them
Momentum building in Washington as some see Internet sales tax as opening a door.
Republicans express frustration with slow pace, missed deadline
Dually registered advisers will be one of the SEC's exam priorities for 2013. Oh yes, the commission also plans to focus on payments advisers make to companies that distribute mutual funds.
Commissioner Gallagher expects new proposal before the end of March.
As Financial Literacy Month quietly exits, the topic fails to generate much activity on Capitol Hill.
Report claims Montana preparing case against multiple LPL brokers.
Massachusetts Securities Division seeks payment to investors who bought shares of nontraded real estate investment trusts
Consumer group calls on regulators to tighten scrutiny of the more than 50 designations in use
28% limit not a 'helpful' policy for jobs or growth.
Finra wants to make the investing public aware of pending regulatory complaints against brokers. Some industry observers say the plan could do serious harm to innocent advisers.
