Finding A Way.

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?

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?

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?

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

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?

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...

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

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

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

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...

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