FINRA is on pace to break its own enforcement records, based on…
Read MoreDo Advisers Need to Raise the Red Flag?
SEC recently finalized rules requiring investment advisers, and other entities under its…
Read MoreJOBS Act Update: Is There Rulemaking on the Horizon?
Speculation is again growing about when the SEC will complete its rulemaking…
Read MoreWhen Do Private Funder Advisers Need to Register as a Broker-Dealer?
In remarks before the American Bar Association, David W. Blass, Chief Counsel,…
Read MoreFinancial Crisis Has Silver Lining For Advisers
While the financial crisis wreaked havoc on many retirement accounts, it had…
Read MoreHow Would Obama’s Budget Impact Advisers?
On April 10, President Barak Obama unveiled his 2014 budget. The plan…
Read MoreLawmakers Seeking to Ban “Unfair” Arbitration Agreements
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 &…
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