More in Regulation & Compliance

  • 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
  • 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

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