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The brokerage industry is warning that lack of a cost-benefit analysis could doom Finra’s plan to require disclosure of broker-recruitment bonuses.
The civil engineer's loss on a Credit Suisse exchange-traded note (ETN) shows why banks are being pressured by the SEC to beef up disclosures on the products.
A former official of BP Plc will pay $224,000 to settle U.S. claims that he traded securities based on inside information about the magnitude of the Deepwater Horizon oil spill, the SEC said.
Two days after the Securities and Exchange Commission said it would more closely monitor advisors for their computer security, the agency was faulted for its own lapses.
The Secret Service and FBI are investigating an increasing number of attacks on U.S. retailers’ data, including credit card accounts.
Finra said on today it will consider proposing mandatory background checks for brokers after critics pointed to gaps in disclosures by some with checkered histories.
Iowa-based investment advisor Donald Gene DeWaay Jr. has agreed to a half-million dollar settlement with the U.S. Department of Labor over Erisa violations, DOL announced Monday.
The SEC has charged Total Wealth Management, its owner, CCO and an employee with misleading investors.
The lopsided bond market has caught the attention of the SEC, which is examining whether the biggest players get preferential prices and access because of their influence.
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