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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...
In the last year, IPOs have raised $62.4 billion, according to data by Renaissance Capital. In just the first four months of this year, 136 new IPOs have been filed, up from 57 during the same time period of 2013...
A six-year-old FINRA arbitration case has worked its way up to the Supreme Court, after the investor found out that the arbitrator’s husband just happened to be a Wharton School professor and consultant for several investment firms...
Regulators produced over 3,000 new rules last year, racking up $1.863 trillion in compliance and economic impact costs, according to a new study. Financial regulation alone made up about 18 percent of the rules.
The Dept. of Treasury, Commodity ...
The Rummage Group breaks the industry into firms, models and types. There are about 2,000 broker dealers and over 10,000 RIAs that employ financial advisors. Making up these firms are about 10 models; wirehouses, regional firms...
Going down for the count is never a good thing in any confrontation. But being hit while you are down is far worse. That is precisely what FINRA is attempting to do to its members with the approval of its new rule that prohibits...
