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Lawmakers Seeking to Ban “Unfair” Arbitration Agreements thumbnail

Lawmakers Seeking to Ban “Unfair” Arbitration Agreements

Lawmakers, led by Sen. Al Franken, D-Minn., are calling on SEC Chairmen Mary Jo White, to ban what they call “unfair” arbitration agreements. They have specifically asked...

Brokers Get Short Reprieve on Large Trader Requirements thumbnail

Brokers Get Short Reprieve on Large Trader Requirements

The SEC extended the compliance deadline for certain large trader recordkeeping, reporting and monitoring requirements to November 1 of 2013.  The second phase of the implementation was...

FINRA Targeting Complex Products thumbnail

FINRA Targeting Complex Products

Complex products remain one of FINRA’s top compliance concerns, according to CEO Richard Ketchum. Other areas of interest cited by Ketchum included conflicts of interest and exams....

Show Me the Money: FINRA Fines Up in 2012 thumbnail

Show Me the Money: FINRA Fines Up in 2012

FINRA levied significantly more fines in 2012, according to Sutherland Asbill & Brennan LLP’s latest FINRA Sanctions Report.  Overall, fines increased by 15 percent, from $68 million...

Social and Traditional Media “Buzzing” Over SEC’s New Guidance for Corporate Disclosures thumbnail

Social and Traditional Media “Buzzing” Over SEC’s New Guidance for Corporate Disclosures

On April 2, the SEC announced new guidance on the use of social media to disseminate corporate information, refreshingly acknowledging and embracing the brave new media world...

SEC Approves New Identity Theft Rules thumbnail

SEC Approves New Identity Theft Rules

Mary Jo White was sworn in on April 10 and her first official act as head of the SEC was to approve rules requiring brokers-dealers and investment...

SEC Issues Social Media Guidelines For Investment Companies thumbnail

SEC Issues Social Media Guidelines For Investment Companies

The SEC had social media buzzing again.  In March, the agency issued updated social media guidelines for investment companies use of sites like LinkedIn, Twitter, and Facebook....

State Securities Regulators Target Advisers in Legislative Agenda thumbnail

State Securities Regulators Target Advisers in Legislative Agenda

The North American Securities Administrators Association (NASAA) recently announced it legislative priorities for the upcoming year. Not surprisingly, advisers are front and center. NASAA’s membership consists of...

Proposed FINRA Rule Would Make Broker Misdeeds More Public thumbnail

Proposed FINRA Rule Would Make Broker Misdeeds More Public

Complaints about brokers, including allegations of minor misconduct, could soon be widely available to the public. The SEC recently published a proposed FINRA rule that would change...

State Regulator Wants Criminal Background Checks for Advisers thumbnail

State Regulator Wants Criminal Background Checks for Advisers

When registering with state securities regulators, advisers are generally asked to disclose certain criminal convictions in their past. However, this information is generally subject to the “honor...

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