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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.
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.
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.
FPA members will meet with Congressional leaders June 24 to raise awareness of the FPA and financial issues.
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."
The SEC’s investor advisory committee voted unanimously today to ask the agency to stiffen its proposed crowd-funding rules.
The head of Sifma contended yesterday that the market is not "rigged" and that brokerage services to retail investors keep getting better.
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...
Financial Advisor Blogs
Portfolio Manager Insights
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