More in Regulation & Compliance

  • Jul 7, 2014

    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

    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

    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

    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

    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
  • 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

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