Results for "regulation"

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The SECURE Act: Completing an unfinished masterpiece

July 12, 2019

Congress is considering legislation that could ensure dignified retirements for millions more Americans. The House of Representatives recently passed the Setting Every Community Up for Retirement Enhancement Act, which builds on the best elements...

Finra bars former Morgan Stanley rep who hid outside accounts

July 12, 2019

The Financial Industry Regulatory Authority Inc. has barred former Morgan Stanley representative Roman Corona for not appearing at a hearing inquiring into brokerage accounts he held away from the firm. (More:​ Finra bars broker accused of...

CFP Board to announce possible delay of new fiduciary standard

July 12, 2019

The Certified Financial Planner Board of Standards Inc. will announce by next week whether it intends to delay enforcing an expanded fiduciary standard for financial advisers who hold the group's CFP mark. During a webinar Friday afternoon,...

Departure of Alexander Acosta could slow DOL effort to revise fiduciary rule

July 12, 2019

The resignation of Labor secretary Alexander Acosta on Friday could delay the agency's release of a replacement for its fiduciary rule. Under the Obama administration, the DOL issued a regulation that would have required brokers to act in the...

Labor Secretary Alexander Acosta resigns after furor over Jeffrey Epstein sex charges

July 12, 2019

Labor Secretary Alex Acosta, in a surprise appearance Friday with President Donald J. Trump, said that he would resign. "I thought the right thing was to step aside," Mr. Acosta told reporters at the White House. "It would be selfish for me...

Finra provides detail on enforcement breaks for cooperation

July 11, 2019

Finra gave more detail Thursday on how brokerage firms and registered representatives can reduce enforcement penalties by cooperating with the agency. In a regulatory notice, the Financial Industry Regulatory Authority Inc. reiterated that credit...

SEC member Peirce to brokers: Talk to us early, often about Reg BI implementation problems

July 11, 2019

Financial professionals may still be slogging through the nearly 1,400 pages of the investment advice reform package the Securities and Exchange Commission approved last month — but they should be working on implementation now, especially...

CFP Board may make decision this week on delaying enforcement of fiduciary standard

July 11, 2019

The board of directors of the Certified Financial Planner Board of Standards Inc. is meeting in Maine this week, and may decide to delay enforcing an expanded fiduciary standard for financial advisers who hold the group's CFP mark. Approved...

Applauding the SEC's new approach to disclosure

July 11, 2019

The Financial Services Institute was pleased last month when the Securities and Exchange Commission passed Regulation Best Interest, a vital new rule that establishes a best-interest standard of care for all advisers on both the broker-dealer...

David Lerner Associates' financial condition deteriorates

July 10, 2019

David Lerner Associates Inc., once known for its radio ads selling municipal bonds, reported in a recent regulatory filing that its financial condition had deteriorated in 2018. The filing with the Securities and Exchange Commission, an annual...

SEC's Blass rebuts assertion Reg BI is tougher than fiduciary standard

July 10, 2019

Even before the Securities and Exchange Commission approved new investment advice reform rules in June, there was debate about whether the broker requirement would be tougher than the standard for investment advisers. One of the authors of the...

SEC head defends Reg BI, but only succeeds in igniting more criticism

July 9, 2019

Securities and Exchange Commission Chairman Jay Clayton took on critics of the agency's recently approved investment advice reform package in a lengthy defense Monday, but his remarks didn't calm the fierce debate. In a speech Monday in Boston...

Embracing the highs and lows of cannabis investing

July 9, 2019

When it comes to investing risks and opportunities, there is currently nothing quite like cannabis. While its recreational use is still illegal at the federal level, the momentum behind a push to regulate marijuana alongside alcohol is unmistakable....

SEC chairman Jay Clayton defends advice rule

July 9, 2019

U.S. Securities and Exchange Commission chairman Jay Clayton is striking back at critics who've said one of his signature regulatory achievements is a gift to Wall Street. The rules in question, passed by the SEC last month, were supposed to...

Finra arbitrators slap $1.46 million award on former Cadaret broker

July 9, 2019

Finra arbitrators awarded an investor $1.462 million against a former Cadaret, Grant & Co. broker who failed to appear at the arbitration hearings. The investor, Janet Zagaro, filed a claim in April 2018 against Cadaret, Grant, as well as its...

Finra rogue broker proposal raises concerns among investor, industry advocates

July 8, 2019

Investor advocates say a Finra proposal to crack down on rogue brokerages doesn't go far enough to solve the problem of unpaid arbitration awards, while industry groups are expressing concerns that it gives Finra too much power to determine...

Finra bars ex-Raymond James compliance executive for data tampering

July 8, 2019

The Financial Industry Regulatory Authority Inc. last Wednesday barred a former Raymond James & Associates Inc. compliance executive who in 2016 fiddled with and falsified branch audit data, therefore avoiding performing follow-up work. In January,...

SEC bars ex-Transamerica broker who took $583,000 from clients

July 8, 2019

The Securities and Exchange Commission on Friday barred a former Transamerica Financial Advisors Inc. broker who was charged last summer by the U.S. Attorney's office with securities and bank fraud in taking $583,000 from his clients. The broker,...

Crypto broker logjam may be swept away by regulatory guidance

July 8, 2019

U.S. regulators potentially cleared the way for dozens of firms to become registered cryptocurrency brokers by issuing guidance on how securities rules apply to some of the complicated compliance issues posed by digital tokens. Crypto brokers...

A higher standard of client care

July 8, 2019

The financial services profession is about more than just numbers. It's about helping people navigate life's complexities. Financial advisers serve an important role as their clients prepare for milestones. So it's no surprise that the client-adviser...

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