More in Regulation & Compliance

  • Apr 29, 2014

    Regulation Nation

    Regulators produced over 3,000 new rules and regulations last year, racking up $1.863 trillion in compliance costs and economic impact, according to a new study. Financial regulation alone made up 18 percent of all rules....More
  • Apr 28, 2014

    FINRA Hits The Rep While He is Down

    FINRA, by its new rule, is again hurting the broker....More
  • Apr 3, 2014

    FINRA Cases Decrease, But Fines Increase

    The number of FINRA enforcement cases aimed at financial firms may be down slightly so far this year, but the fines themsleves are on the rise....More
  • Apr 2, 2014

    The Blotter Report: Eating the Paper Trail

    Would-be fraudsters beware: Eating the evidence will not deter the Securities and Exchange Commission. A Morgan Stanley stockbroker and an employee at a prominent New York law firm found that out the hard way when the two were charged with insider trading last month....More
  • Mar 31, 2014

    No ‘Get-Out-of-Jail-Free’ Card for Financial Firms

    Manhattan U.S. Attorney Preet Bharara put financial companies on notice Monday, saying he will hold institutions, not just individuals, accountable for crime—no matter how big the firm's reach....More
  • Mar 26, 2014

    Could One Cyber Threat Take Down Your Practice?

    Target will live. But one data breach could bring down an investment advisor practice, speakers said during an SEC roundtable. Are small RIAs being left out in the cold?...More
  • Mar 6, 2014

    Reading The FINRA Enforcement Tea Leaves

    For several years the FINRA enforcement arm grew bigger and bigger. Its staff increased. The number of actions increased. The number of fines increased. The number of bars and suspensions increased. And the number of litigations/arbitrations was on the rise. Last year, however, appears to have finally fared better for the brokers. What do those numbers mean?...More
  • Oct 28, 2013

    Long Wait Ahead for Advisor Fiduciary Standard

    There’s no question the continued regulatory uncertainly creates a huge challenge in running an advisory business. Yet solving the biggest challenge—a uniform fiduciary standard—may be more than a year away....More

Careers Category Sponsor Links

Sponsored Introduction Continue on to (or wait seconds) ×