FINRA Enforcement Set to Break Records

FINRA is on pace to break its own enforcement records, based on…

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Do Advisers Need to Raise the Red Flag?

SEC recently finalized rules requiring investment advisers, and other entities under its…

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JOBS Act Update: Is There Rulemaking on the Horizon?

Speculation is again growing about when the SEC will complete its rulemaking…

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When Do Private Funder Advisers Need to Register as a Broker-Dealer?

In remarks before the American Bar Association, David W. Blass, Chief Counsel,…

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Financial Crisis Has Silver Lining For Advisers

While the financial crisis wreaked havoc on many retirement accounts, it had…

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How Would Obama’s Budget Impact Advisers?

On April 10, President Barak Obama unveiled his 2014 budget. The plan…

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Lawmakers Seeking to Ban “Unfair” Arbitration Agreements

Lawmakers, led by Sen. Al Franken, D-Minn., are calling on SEC Chairmen…

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Brokers Get Short Reprieve on Large Trader Requirements

The SEC extended the compliance deadline for certain large trader recordkeeping, reporting…

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FINRA Targeting Complex Products

Complex products remain one of FINRA’s top compliance concerns, according to CEO…

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Show Me the Money: FINRA Fines Up in 2012

FINRA levied significantly more fines in 2012, according to Sutherland Asbill &…

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