Finding A Way.

FINRA Releases Official Guidance for Adviser Arbitration Program

FINRA has released official guidance to investments advisers about the availability of its arbitration program. As discussed in a prior post, the SRO has recently opened its...

SEC Has Another Banner Year at Expense of Advisers

The SEC recently announced that it filed 734 enforcement actions in fiscal year 2012, just short of last year’s record of 735. In light of the recent...

Lawmaker Calling on SEC to Revisit JOBS Act Proposal to Lift Advertising Ban

Sen. Carl Levin is calling on the SEC to revisit its proposal to relax advertising rules for private offerings. Per our prior blog post on the JOBS...

FINRA Offers Relief in Wake of Hurricane Sandy

In the wake of the devastating storm that ravaged much of the East Coast, many firms are struggling to keep their businesses up and running. Recognizing that...

FINRA Arbitration Now Available to Advisers

Registered investment advisers are now eligible to participate in FINRA’s arbitration system, according to Linda Fienberg, president of FINRA's office of dispute resolution. Arbitration was previously only...

Conflict of Interest Remains Top SEC Priority

The SEC continues to identify conflicts of interest as a key focus of its risk-based strategy. In recent remarks before the National Society of Compliance Professionals, Carlo...

FINRA Offers Relief in Wake of Hurricane Sandy

In the wake of the devastating storm that ravaged much of the East Coast, many firms are struggling to keep their businesses up and running. Recognizing that...

Broker-Dealers: Do You Know How To Keep a Secret?

The SEC’s Office of Compliance Inspections and Examinations (OCIE) recently released a report about the results of examinations by the SEC, FINRA and the NYSE of broker-dealers...

SEC Proposing to Extend Principal Trading Rule

The SEC has proposed to extend the sunset for the temporary principal trading rule under the Advisers Act by another two years to December 31, 2014. Temporary...

SEC Warns Advisers ADV Forms Are Not the Place to Boast

The SEC is reportedly cracking down on advisors who exaggerate their education or credentials on ADV forms. So while puffing may be acceptable at dinner parties, depending...

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