Lawmakers, led by Sen. Al Franken, D-Minn., are calling on SEC Chairmen…
Read MoreBrokers Get Short Reprieve on Large Trader Requirements
The SEC extended the compliance deadline for certain large trader recordkeeping, reporting…
Read MoreFINRA Targeting Complex Products
Complex products remain one of FINRA’s top compliance concerns, according to CEO…
Read MoreShow Me the Money: FINRA Fines Up in 2012
FINRA levied significantly more fines in 2012, according to Sutherland Asbill &…
Read MoreSocial and Traditional Media “Buzzing” Over SEC’s New Guidance for Corporate Disclosures
On April 2, the SEC announced new guidance on the use of…
Read MoreSEC Approves New Identity Theft Rules
Mary Jo White was sworn in on April 10 and her first…
Read MoreSEC Issues Social Media Guidelines For Investment Companies
The SEC had social media buzzing again. In March, the agency issued…
Read MoreState Securities Regulators Target Advisers in Legislative Agenda
The North American Securities Administrators Association (NASAA) recently announced it legislative priorities…
Read MoreProposed FINRA Rule Would Make Broker Misdeeds More Public
Complaints about brokers, including allegations of minor misconduct, could soon be widely…
Read MoreState Regulator Wants Criminal Background Checks for Advisers
When registering with state securities regulators, advisers are generally asked to disclose…
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