The wait and speculation is over for now. Today the SEC proposed…
Read MoreWhat Are the Hallmarks of a Strong Compliance Program?
I thought it would be interesting to hear it from the horse’s…
Read MoreStop the Abuse—Elder Fraud Prevention and Privacy Laws
Several financial regulators, including the SEC, the CFTC, the FTC and the…
Read MoreFINRA Approves Revamped Broker Compensation Proposal
On September 19, FINRA’s Board of Governors approved a proposal that would…
Read MoreWelcome to the Club: Municipal Advisors Now Subject to SEC Scrutiny
The registered advisor community just got a little larger. The SEC recently…
Read MoreNew Report: FINRA Fines Trending Downward
FINRA fines are significantly lower for the first half of 2013, according…
Read MoreNew Rule 506(c) — Are You Sure You Are Reasonable?
It went in effect yesterday. “It” being the SEC’s historic amendment to…
Read MoreBroker-Dealers to Face Tougher Custody Rules
The SEC recently adopted significant changes to the broker-dealer reporting rules. The…
Read MoreProposed Disclosure Rules Will Not Delay Lifting of General Solicitation Ban
SEC Chair Mary Jo White recently confirmed that the SEC will not…
Read MoreAre DOL and SEC Fiduciary Rules Headed for a Collision?
Two federal government agencies are currently working to create new fiduciary rules…
Read More