More in Regulation & Compliance

  • Jul 7, 2014
    blog

    RIAs Increase Compliance Staff, Training

    RIA firms continue to increase their investment in compliance, boosting the number of dedicated staff and overall employee training, according to a recent survey....More
  • Jun 12, 2014
    blog

    FSI Skeptical About FINRA BrokerCheck Rule Feasibility

    Will FINRA’s proposed rule requiring firms to link to BrokerCheck records increase investor awareness? The Financial Services Institute remains unconvinced, contending the regulator needs to perform a cost-benefit analysis and weigh alternative options....More
  • Jun 10, 2014
    blog

    IAA To SEC: No Third-Party SRO Exams

    Investment adviser advocates are on the offensive following SEC Commissioner Dan Gallagher’s bid to look at possibility of an SRO (self regulatory organization) for oversight of RIAs....More
  • May 14, 2014
    blog

    SEC Commissioner Calls Flash Boys Thought-Provoking, But Misleading

    SEC commissioner Michael Piwowar called out Michael Lewis’ controversial book on high frequency trading Wednesday, saying that while Flash Boys has sparked thoughtful discussion, it’s misleading and factually inaccurate....More
  • Apr 29, 2014
    Education

    SEC Chair Wants to Settle Fiduciary Uncertainty This Year

    Chair Mary Jo White called the fiduciary standard an “extraordinarily high priority” for the Securities and Exchange Commission, saying it’s her goal to see a decision on whether to impose a uniform standard this year....More

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