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Is SEC disgorgement endangered? Supreme Court to decide

June 13, 2019

For decades, the Securities and Exchange Commission has relied on disgorgement: monetary relief created by the courts to recover a defendant's ill-gotten gains from violating the nation's securities laws. But two years ago, financial advisers...

Finra proposal to restrict recidivist behavior a good start — but more needs to be done

May 14, 2019

Recently, the Financial Industry Regulatory Authority Inc. published a proposal to impose restrictions on firms with a significant history of misconduct. Finra wants to label firms with high numbers of disclosures and with a history of employing...

Reg BI looks strong, if you squint just right

May 13, 2019

The Wall Street Journal's Jason Zweig recently complained about a study from Fidelity Investments that was interpreted to show that "Most index funds are 'below-average investments'" and that except for large U.S. stocks, in nearly every other...

Finra expungement: More limitations on the way

February 22, 2019

Since the inception of the Finra's Central Registration Depository system in 1981, securities professionals have always had the ability to have customer complaints removed from their records under certain circumstances. While the same basic...

NASAA president calls on Congress to prevent advisers, brokers from putting their interests ahead of clients'

April 2, 2019

Main Street investors are an engine of prosperity that drives our nation forward, and when we empower them by putting their interests first, our capital markets, our economy and our country all win. A team approach is necessary to best safeguard...

Three crucial compliance requirements to satisfy right now

April 1, 2019

Every year at this time, registered investment advisers are — or should be — thinking about some of the annual regulatory compliance requirements imposed by the Securities and Exchange Commission. Yet every year, we are contacted by advisers...

The public can be better served without state regulation of planners

September 22, 2018

A profession is built upon the principles of ethics, education, experience and a competency assessment ensuring that someone has the knowledge and skills to work with the public. Professionals who serve the public are also typically held accountable...

SEC's Reg BI strengthens investor protections

February 14, 2019

Each day, America's financial advisers go to work in communities across the country to help their neighbors develop plans to save for retirement, send their kids to college, buy a house, or meet other financial and family goals. In this business,...

Finra engages in rulemaking by enforcement: financial industry groups

June 21, 2017

Financial industry trade associations criticized Finra for using enforcement to establish regulatory standards for brokers rather than the formal rulemaking process, in letters to the broker-dealer regulator as part of its self-examination process....

Rep barred for not disclosing $100 million in private transactions: Finra

June 7, 2017

Correction: An earlier version of this story incorrectly identified Securities America as the firm that employed Jim Seol. He was employed by Ameriprise Financial Services. A Financial Industry Regulatory Authority hearing panel has barred a...

Finra fines former Sterne Agee rep for VA violations

June 7, 2017

The Financial Industry Regulatory Authority has suspended a former Stifel, Nicolaus broker, for four months and fined him $10,000 for engaging in transactions involving variable annuities that allegedly violated Finra rules. In September 2014,...

Finra has made genuine efforts to improve

January 3, 2018

The past year was a time of significant change not only for our industry, but for our regulators, as well. In particular, Finra — where Robert Cook took over as CEO in 2016 — made a concerted effort to adapt to the shifting financial services...

Finra notes compliance pitfalls in first-time release of exam findings

December 6, 2017

Finra released for the first time on Wednesday a summary of findings from recent examinations, highlighting areas where the broker self-regulator's member firms are experiencing compliance shortfalls. The 14-page report is one of the first major...

Puzder withdraws as Trump's Labor nominee amid Republican doubts

February 15, 2017

Andrew Puzder withdrew Wednesday as President Donald Trump's labor secretary nominee as controversy deepened over his personal life and private sector background. Mr. Puzder had been scheduled for a Senate confirmation hearing on Thursday. The...

Is Reg BI headed for the courts?

February 22, 2019

Opponents of the Labor Department's fiduciary rule killed it last year in the courtroom. Those set to fight the Securities and Exchange Commission's coming advice reform regulation might also brandish the legal sword to see if it cuts both ways....

Finra bars former Hilliard Lyons broker

January 18, 2017

The Financial Industry Regulatory Authority Inc. has barred a former Hilliard Lyons broker who recently settled a customer complaint alleging excessive trading and commissions, unauthorized trades and portfolio mismanagement. Finra on Tuesday...

Brace yourself for more SEC exams

October 11, 2017

The new Securities and Exchange Commission chairman, Jay Clayton, recently testified before Congress that the agency will increase its examinations of investment advisers by 20% in the current fiscal year, and nudge those numbers up a further...

New Finra CEO Cook will feel heat from both sides of the political aisle

June 13, 2016

When he takes over as president and CEO of the Financial Industry Regulatory Authority Inc. next month, Robert W. Cook will be stepping into a role that has increasingly gained the attention of lawmakers in Washington. Finra on Monday morning...

Pennsylvania broker hit with $200,000 fine for 'dishonest or unethical practices'

July 25, 2017

Citing "dishonest or unethical practices in the securities business," the Pennsylvania Department of Banking and Securities on Monday fined a Philadelphia area broker $200,000. According to the BrokerCheck report for the broker, Austin Dutton,...

Supreme Court curbs SEC's power to recoup illegal profits

June 5, 2017

The U.S. Supreme Court put sharp new limits on a favorite tool used by securities regulators to recoup money from people found to have violated federal laws. The justices unanimously said the Securities and Exchange Commission is bound by a...

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