Displaying 229 results
Finra board to consider tougher expungement guidance to arbitrators
Inserting strong language into rules, such as that wiping clean a broker's record should only be considered 'an extreme remedy,' could give it more weight.
Senator says advisers need more protection in reporting elder financial abuse
Maine program offers potential model.
State regulators name top offerings likely to hurt investors in 2015
NASAA calls binary options, stream-of-income and marijuana schemes emerging investor threats.
Expungement reform top issue for state regulators this year
Potential changes to the process by which brokers can remove disciplinary information from their online records are under review.
Beatty takes reins of NASAA, focuses on protecting senior investors
Other issues state regulators are tackling include expungement, broker fee disclosures and REIT concentration in portfolios.
Brokers charged by state securities officials see prison time rise
Enforcement actions by NASAA members resulted in one-third-longer sentences last year over 2012.
Are changes ahead in the way nontraded REITs are sold?
Fat commissions could be trimmed if states approve regulations affecting the sale of nontraded real estate investment trusts.
Foot-dragging on rules harms investors
Regulators are notorious for dragging their feet, and investors suffer when new rules take too long to be finalized.
Restoring investors’ confidence in the markets
The president of the North American Securities Administrators Association discusses what the financial industry needs to do to rebuild client trust.
Take 5: New NASAA president Andrea Seidt
Ohio Securities Commissioner Andrea Seidt is concerned that the Securities and Exchange Commission is getting bogged down.
New NASAA chief: Time to beef up the SEC
Ohio Securities Commissioner Andrea Seidt is concerned that the Securities and Exchange Commission is getting bogged down. As…
State regulators question RIAs’ use of mandatory arbitration
'How can that be in the best interests of the client?' one asks.
Regulators: Don’t get lost in the soup
NASAA, SEC issue note about titles used by financial advisers amid confusion.
Arbitration bill is introduced
Rep. Keith Ellison, D-Minn., a member of the House Financial Services Committee, has introduced legislation that would end…
Tussle over mandatory arbitration
The Securities and Exchange Commission may be putting off reforming mandatory-arbitration clauses in brokerage contracts, but that doesn’t…
National online system proposed for securities offerings
New NASAA president proposes creating a national online system for securities offerings that she says would help protect investors and at the same time help companies raise capital.
Risky alt investments being probed
The Massachusetts securities cop last week sent subpoenas to 15 brokerages as part of a probe of sales of alternatives. Here are the products the regulator is zeroing in on.
Midsize advisers who don’t switch could have their registrations withdrawn
Midsize advisers who haven't completed their switch to state registration from the SEC could have their registrations withdrawn…
State regulators blast SEC over Reg D ad proposal
Rule would open door to general solicitation for private securities
