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Insurance that advisers will need to cover new fiduciary duties

September 1, 2016

The U.S. Department of Labor recently expanded the definition of a fiduciary. The people who likely will bear the responsibilities of a fiduciary include a wide array of financial industry advisers not formerly required to take on that responsibility....

SEC steps up scrutiny of adviser use of social media

September 1, 2016

The Securities and Exchange Commission is taking a closer look at advisers' use of social media by making their activity part of their annual disclosures to the agency. In a recently released final rule, the SEC said it is adding to Form ADV...

The SEC bars Logos Wealth Advisors founder, fund manager for fraudulently raising money

August 31, 2016

The Securities and Exchange Commission has barred Logos Wealth Advisors founder Paul Mata and his fund manager for fraudulently raising more than $14 million from investors. David Kayatta joined Mr. Mata at investment advisory firm Logos Wealth...

Moody's upbeat on mutual-fund companies for the third quarter

August 30, 2016

The third quarter could be upbeat for mutual fund companies, according to a new report from Moody's Investors Service, but those with high costs and poor performance won't fare as well. On the plus side, low volatility after the Brexit vote...

Caldwell International Securities will pay $2 million in settlement over churning, Finra says

August 30, 2016

Caldwell International Securities Corp. will pay about $2 million to settle charges that the broker-dealer harmed investors while its founder agreed to an industry ban, according to the Financial Industry Regulatory Authority Inc. Caldwell International...

Get ready for more whistleblowers in the financial advice sector

August 30, 2016

As federal and state securities regulators rely more on firm insiders to uncover wrongdoing, the investment advice sector may find itself more vulnerable to whistleblowing. Earlier this month, Indiana announced its first whistleblower award,...

Judge's questions show inclination to uphold DOL fiduciary rule

August 26, 2016

Federal judge Randolph Moss didn't state his position Thursday regarding how he will rule on a lawsuit against a major Labor Department investment-advice regulation. But his questioning of plaintiffs and defense attorneys during a hearing that...

Finra alleges former broker made unsuitable energy investments for elderly clients

August 26, 2016

The Financial Industry Regulatory Authority Inc. has filed a complaint against an ex-broker for making unsuitable recommendations in gold and energy investments to elderly retirees. Christopher Ariola, while working for Bay Mutual Financial,...

DOL issues final rule to help states establish workplace retirement savings programs

August 25, 2016

The Department of Labor released a final regulation Thursday that will make it easier for states to establish their own workplace retirement savings programs. Introduced last November, the rule clarifies that state plans would not be subject...

SEC fines advisory firms $2.2 million for spreading false claims made by F-Squared

August 25, 2016

The Securities and Exchange Commission ordered 13 firms to pay a combined $2.2 million for spreading false claims made by F-Squared Investments about the performance of a strategy it used in exchange-traded funds. The SEC found the firms “accepted...

SEC 'temporary' principal trading rule to expire

August 24, 2016

The Securities and Exchange Commission will let a rule that eases principal trading requirements for certain financial advisers expire at the end of the year. The decision marks the end of a temporary rule that had been extended several times...

Finra wants to raise the annual gift limit

August 24, 2016

With any luck, brokerage reps will be able to breathe a little easier when they're buying gift baskets for fellow professionals during the next holiday season. According to a proposed rule change from Finra earlier this month, the self-regulatory...

California poised to pass state retirement savings law

August 23, 2016

California lawmakers are poised to vote any day on a bill that would greatly expand access to workplace retirement plans among small businesses, a measure that has drawn both praise for helping address a perceived savings shortfall and ire from...

ETF providers scramble to put Aug. 24 'flash crash' in rearview mirror

August 23, 2016

If there is an upside to the Aug. 24, 2015 “flash crash” that saw volatility spike and trigger nearly 1,300 individual trading halts, it is that the asset management industry and the exchanges are now scrambling to work with regulators to...

Use the DOL fiduciary rule as a catalyst to transform your business

August 23, 2016

We've seen it before. A major regulatory change like the recent release of the Department of Labor rule prompts firms to use internal and external resources to formulate an action plan to comply. Revenue forecasts, compensation reviews, intricate...

DOL rule bad for fund company profits

August 22, 2016

For many years, you could have made better money for your clients by investing in the stocks of mutual fund companies rather than the funds they offer. No more — and the Department of Labor's new fiduciary rule may well have something to do...

Independent researchers seen easing DOL fiduciary burden for brokers

August 22, 2016

Big brokerage firms on Wall Street are shining a light on how broker-dealers may manage their duties under the Labor Department's new fiduciary rule before it takes effect next year. UBS Group AG's wealth management group for the Americas announced...

Candidates for Finra board want greater focus on regulatory pain of small firms

August 22, 2016

Four candidates for the small-firm seat on the board of governors of the Financial Industry Regulatory Authority Inc. want to make the broker-dealer regulator responsive to the compliance pain their sector is feeling. The nominees — Mark Howells,...

SEC's courts still appear biased

August 21, 2016

Earlier this month, the U.S Court of Appeals upheld a Securities and Exchange Commission ruling against Raymond Lucia Sr., a former investment adviser, in a case that exemplifies the appearance of unfairness in the commission's use of administrative...

SEC enforcement actions trail last year's record numbers: Study

August 17, 2016

Enforcement activity at the Securities and Exchange Commission has slowed, according to a new study. In the current fiscal year, the agency is behind its record-setting pace of fiscal 2015, a Cornerstone Research report shows. The agency has...

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