Compliance/Fraud Articles

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Finra To Consider Broker Background Checks

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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.

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DOL, Iowa Advisor Agree To $554,000 Erisa Settlement For Fee Overcharges

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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.

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San Diego Firm And Its Owner Charged With Receiving Kickbacks

by FA Staff

The SEC has charged Total Wealth Management, its owner, CCO and an employee with misleading investors.

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Trillion-Dollar Firms Dominating Bond Market Prompting Probes

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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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SEC Releases Disclosure Reform Road Map

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The Securities and Exchange Commission has revealed the roadmap it is using to reform the rules on what companies are required to disclose to investors.

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FPA Goes To Washington

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FPA members will meet with Congressional leaders June 24 to raise awareness of the FPA and financial issues.

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SEC Eyes Test That May Lead To Shift Away From 'Dark Pools'

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U.S. securities regulators are considering testing a proposed reform that could drive business to major stock exchanges and away from alternative trading venues such as "dark pools."

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SEC Advisory Committee Wants Tighter Crowd-Funding Rules

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The SEC’s investor advisory committee voted unanimously today to ask the agency to stiffen its proposed crowd-funding rules.

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Market Not 'Rigged' Against Retail Investors, Sifma CEO Says

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The head of Sifma contended yesterday that the market is not "rigged" and that brokerage services to retail investors keep getting better.

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Finra Kicks Off Review Of Rules To Gauge Impact, Costs

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Finra has launched a review of its rules to determine whether they are effective and their costs and benefits are in line with the securities industry's expectations, according to regulatory...

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