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Coalition Calls on SEC Not to Water Down Fiduciary Standard thumbnail

Coalition Calls on SEC Not to Water Down Fiduciary Standard

On July 5, the deadline approaches for comments on the SEC’s cost-benefit analysis of a potential uniform fiduciary standard that would apply to RIAs and B-Ds alike....

SEC Adviser Exams: What to Expect When an Examiner Comes Knocking thumbnail

SEC Adviser Exams: What to Expect When an Examiner Comes Knocking

Given recent statements by the SEC Chairman Mary Jo White, the SEC is committed to increasing adviser oversight through compliance exams.  It is no longer a question...

LPL Learns the Hard Way: Make Sure You Save Those Emails thumbnail

LPL Learns the Hard Way: Make Sure You Save Those Emails

FINRA recently announced that it fined LPL Financial LLC (LPL) $7.5 million for several significant email system failures. The firm was also ordered to create a $1.5...

SEC Hoping to Take Control Over Adviser Oversight With Stepped Up Exams thumbnail

SEC Hoping to Take Control Over Adviser Oversight With Stepped Up Exams

The SEC continues its efforts to prove that it is up to the task when it comes to adviser oversight.  Chairwoman Mary Jo White recently testified before...

FINRA Enforcement Set to Break Records thumbnail

FINRA Enforcement Set to Break Records

FINRA is on pace to break its own enforcement records, based on the number of cases filed so far this year. Here are the numbers. As of...

Do Advisers Need to Raise the Red Flag? thumbnail

Do Advisers Need to Raise the Red Flag?

SEC recently finalized rules requiring investment advisers, and other entities under its purview to adopt programs to detect red flags and prevent identity theft. The compliance date...

JOBS Act Update: Is There Rulemaking on the Horizon? thumbnail

JOBS Act Update: Is There Rulemaking on the Horizon?

Speculation is again growing about when the SEC will complete its rulemaking duties under the JOBS Act.  In addition to new crowd funding rules, the agency must...

When Do Private Funder Advisers Need to Register as a Broker-Dealer? thumbnail

When Do Private Funder Advisers Need to Register as a Broker-Dealer?

In remarks before the American Bar Association, David W. Blass, Chief Counsel, SEC Division of Trading and Markets, addressed a key concern—what activity could cause a private...

Financial Crisis Has Silver Lining For Advisers thumbnail

Financial Crisis Has Silver Lining For Advisers

While the financial crisis wreaked havoc on many retirement accounts, it had a significant upside for those tasked with minimizing the damage. Investors actually trust their advisers...

How Would Obama’s Budget Impact Advisers? thumbnail

How Would Obama’s Budget Impact Advisers?

On April 10, President Barak Obama unveiled his 2014 budget. The plan contains several provisions that could impact advisers. Starting with the positive, the SEC would receive...

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