More in Regulation & Compliance

  • 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
  • Jul 1, 2013

    The Small Broker/Dealer Is Not Dead…Yet

    Despite talk of the demise of the small b/d, fewer firms are closing up shop compared to this time last year....More
  • Jun 18, 2013

    Not So Fast: Congressional Letter Could Put a Kink in DOL’s Proposal

    Thirty-two members of Congress from minority caucuses have sent a letter to the Department of Labor, arguing that the agency's fiduciary proposal could disadvantage their constituents and limit minority access to financial advisors....More
  • Jun 18, 2013

    Death of the Small Broker-Dealer   6

    Over the past decade, a tremendous amount of pressure has been laid on the shoulders of the small broker-dealers of the securities industry. Like the iconic Willy Loman in Arthur Miller’s Death of a Salesman, these small and/or independent brokerages are allotted a significantly shorter leash than they have been in years past......More
  • Jun 5, 2013

    Orgs to SEC: Don’t Water Down the Fiduciary Standard

    A coalition of nine organizations—from consumer advocates to investment advisor representatives—write a letter to SEC Chair Mary Jo White with a clear message: ‘Don’t water down the fiduciary standard.’...More

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