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FINRA Considering Exemptions to Controversial Fee Hike thumbnail

FINRA Considering Exemptions to Controversial Fee Hike

Earlier this summer, FINRA proposed a controversial fee hike that is not sitting well with financial services firms.  In many cases, fees could rise as much as...

Adviser Oversight Bill May Turn on How You Define “SRO” thumbnail

Adviser Oversight Bill May Turn on How You Define “SRO”

While legislation regarding adviser oversight has slowed, the debate has not.  The latest facet of the debate is whether FINRA can really be characterized as an “independent...

SEC Issues Risk Alert on Pay-to-Play Rules thumbnail

SEC Issues Risk Alert on Pay-to-Play Rules

The SEC has issued a National Examination Risk Alert related to pay-to-play rules governing firms in the municipal securities business, not surprisingly a hot SEC topic considering...

Better Late Than Never: SEC Releases New Advertising and Solicitation Rules thumbnail

Better Late Than Never: SEC Releases New Advertising and Solicitation Rules

The SEC has finally released its long-awaited proposed rules to eliminate the prohibition against general solicitation and general advertising for securities offerings relying on Rule 506.  As...

Bad Company: Advisers Make NASAA Fraud Watch List thumbnail

Bad Company: Advisers Make NASAA Fraud Watch List

The North American Securities Administrators Association (NASAA) recently released its annual list of top investor threats. NASAA consists of 67 state, provincial, and territorial securities administrators in...

Recent Ruling Could Help Brokers Get a Clean Slate With FINRA thumbnail

Recent Ruling Could Help Brokers Get a Clean Slate With FINRA

A California court showed mercy. In a recent ruling, the California Court of Appeal for the First Appellate District made it easier for brokers to remove disciplinary...

The Real Hidden Risk for Advisers: Identify Theft thumbnail

The Real Hidden Risk for Advisers: Identify Theft

Advisers should be aware of a growing identity theft scams that targets advisers to get to their clients’ money. The scams use email to trick advisers into...

Are New Rules on Adviser Designations on the Horizon? thumbnail

Are New Rules on Adviser Designations on the Horizon?

Standards for how advisers use designations to advertise the services they offer to seniors may be on the horizon. This all evolved after the Consumer Financial Protection...

Adviser Facing Legal Trouble Over Radio Show thumbnail

Adviser Facing Legal Trouble Over Radio Show

Advisers ready for the limelight, beware! The SEC recently announced charges against a nationally syndicated radio personality/investment adviser for spreading misleading information about a recommended investment strategy....

FINRA Taking a Closer Look at Conflicts of Interest: Are You Prepared? thumbnail

FINRA Taking a Closer Look at Conflicts of Interest: Are You Prepared?

The Financial Industry Regulatory Authority (FINRA) wants to know how you identify and manage conflicts of interest.  In a recent targeted examination letter, firms were informed that...

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