Results for "regulation"

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Retail derivatives that pay out in bitcoins approved by CFTC

June 25, 2019

Small U.S. retail investors will soon be able to buy derivatives that pay out with bitcoins. LedgerX, a U.S.-regulated bitcoin derivatives exchange and clearinghouse, won approval from the Commodity Futures Trading Commission to serve as a designated...

Funding for Reg BI, other SEC advice reform efforts denied in Waters amendment

June 25, 2019

The House of Representatives is likely to approve this week legislation written by House Financial Services Committee chairwoman Maxine Waters, D-Calif., that effectively would kill the Securities and Exchange Commission's investment advice...

Repeal of SALT cap would be $40 billion windfall for millionaires, according to new data

June 24, 2019

More than half of the benefit of repealing the $10,000 deduction cap for state and local taxes would go to millionaires, according to Congress' nonpartisan tax scorekeeper. (More:​ SALT apocalypse predictions have not come true) Getting rid...

Bernie Sanders to propose financial transactions tax to pay off student debt

June 24, 2019

Democratic presidential hopeful Bernie Sanders will propose canceling the nation's outstanding $1.6 trillion of student debt and offsetting the cost with a tax on Wall Street transactions. The Vermont senator will propose legislation Monday...

Congress members ask GAO to study fallout from death of DOL fiduciary rule

June 24, 2019

High-level Democrats in the Senate and House of Representatives have asked a congressional watchdog to study the fallout from the now-defunct Department of Labor fiduciary rule, including the regulation's effect on a wide range of business practices...

The pros and cons of state fiduciary rules

June 22, 2019

Just as one state this month announced its intention to pursue a fiduciary rule, another postponed its efforts amid industry pushback. It's been a series of starts and stops in states since threats to the Labor Department's fiduciary rule for...

Finra arbitrators ding firm, executives $3 million for broker's outside business at his own RIA

June 21, 2019

Finra arbitrators awarded $3 million to investors who allege they were ripped off by a broker operating an outside business not properly overseen by his firm. In a 2-1 vote, the Financial Industry Regulatory Authority Inc. panel found Spire...

SEC advice rule brings tech focus back to compliance

June 21, 2019

The Securities and Exchange Commission's new reforms on financial advice could push firms to rethink how they invest in technology. Technology vendors say they've experienced a flurry of incoming questions from broker-dealers, registered investment...

SEC advice reform: What's in the final Reg BI, Form CRS and agency interpretations

June 20, 2019

The Securities and Exchange Commission's long-awaited investment advice reforms, which were approved June 5 in a 3-1 vote, will make the most significant changes to advice standards in more than two decades. After receiving more than 6,000 comment...

Finra dings Edward Jones for underreporting alleged damages in customer complaints

June 20, 2019

Over a two-year period, Edward D. Jones & Co. understated alleged damages in nearly 80 customer complaints, according to a settlement announced Wednesday with the Financial Industry Regulatory Authority Inc. From April 2016 to March 2018, Edward...

SEC clears up confusion over whether advisers can continue to call themselves fiduciaries

June 20, 2019

Investment advisers are free to describe themselves as fiduciaries and to market that standard of care to clients, despite a prohibition on the term in one part of a new Securities and Exchange Commission disclosure form. In its recently approved...

Reg BI: How rollovers are changing under the new SEC rules

June 20, 2019

The Securities and Exchange Commission in early June made the most significant changes to investment-advice standards in more than two decades — and rollovers were no exception. Regulation Best Interest imposes a new standard for brokers,...

Galvin plans sweep over pot-related investment fundraising

June 19, 2019

The Massachusetts Securities Division said it will begin a sweep of the growing number of business entities based in the state that are raising money from marijuana-related investments. (More: Advisers struggle with the highs and lows of marijuana...

Vermont establishes restitution fund for victims of investment fraud

June 19, 2019

Vermont victims of investment fraud will be more likely to recover money thanks to a restitution fund the state created this week. The state will supply the fund by siphoning a portion of monetary settlements from securities enforcement cases,...

SEC exploring how to give more investors access to private placements

June 18, 2019

The Securities and Exchange Commission is looking for ways to allow more investors to buy unregistered securities and enable emerging companies more easily to raise capital. The agency issued a concept release Tuesday that examines ways to "simplify,...

SEC fines Wedbush $8.1 million over improper handling of ADRs

June 18, 2019

The Securities and Exchange Commission on Tuesday said that Wedbush Securities Inc. will pay more than $8.1 million to settle charges for improper handling of U.S. securities that represent shares of a foreign company. Such shares are known...

Don't bet your retirement on a fake track record

June 17, 2019

Suppose you like to play the horse races, and your bookie tells you he has developed a surefire, computer-generated formula for picking winners. It's based on hundreds of variables such as the weather and a horse's age, and he has "backtested"...

Finra bars former Cetera broker

June 17, 2019

The Financial Industry Regulatory Authority Inc. has barred former Cetera Financial Group adviser George Merhoff after he failed to continue cooperating with an investigation into his alleged securities industry violations. Mr. Merhoff spent...

New Jersey fiduciary rule: Pressure leads to public hearing, comment deadline extension

June 17, 2019

Under fire from critics, New Jersey has scheduled a public hearing and extended a deadline for public comment on a proposal that would impose a fiduciary duty on anyone giving investment advice, including brokers. The all-day hearing on July...

ETF traders push back against proposal for bond reporting lag

June 17, 2019

An audacious plan to give bond dealers more time to reveal large corporate-debt transactions has sparked a blowback from traders of exchange-traded funds. Jane Street Group, one of the largest ETF market-makers, hedge fund Citadel and an association...

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