Regulatory & Compliance (359)
Editorial Slams Regulation Best Interest
- Friday, 14 June 2019
- Regulatory & Compliance
- Written by PFA News
Regulation Best Interest, or BI, is throwing 401(k) investors under the bus and, contrary to its name, doesn’t require non-fiduciaries to use the best interest standard when serving clients. So argues a column in MarketWatch.
Read more...Editorial Slams Regulation Best Interest
- Friday, 14 June 2019
- Regulatory & Compliance
- Written by PFA News
Regulation Best Interest, or BI, is throwing 401(k) investors under the bus and, contrary to its name, doesn’t require non-fiduciaries to use the best interest standard when serving clients. So argues a column in MarketWatch.
Read more...Investor Safeguards Upheld by Supreme Court
- Friday, 29 March 2019
- Regulatory & Compliance
- Written by PFA News
The U.S. Court of Appeals has upheld a ruling by the Securities and Exchange Commission that determined that Francis Lorenzo was responsible for defrauding investors by sending emails seeking funding for a bogus waste-to-energy company. So reports Reuters.
Read more...Senator Proposes Additional Restriction on Insider Trading
- Saturday, 16 March 2019
- Regulatory & Compliance
- Written by PFA News
Sen. Chris Van Hollen of Maryland is preparing legislation that would instruct the SEC to study the merits of a potential rule that would prevent corporate insiders from selling stock within a specified time period after stock buybacks have been announced. So reports CNBC.
Read more...Hawaii Senator Propose Tax on Equity Trades
- Saturday, 16 March 2019
- Regulatory & Compliance
- Written by PFA News
Senator Brian Schatz of Hawaii has introduced legislation that would impose a financial transaction tax that would raise nearly $800 billion over a decade. So reports Vox.
Read more...The Undiscussed Benefits of the Fiduciary Standard
- Friday, 01 March 2019
- Regulatory & Compliance
- Written by PFA News
Both sides of the debate regarding extending the fiduciary standard to all advisors are probably overstating the consequences of regulators either not enacting the rule of rejecting it.
Read more...Client Accuses Ron Carson’s Firm of Charging Excessive Fees
- Friday, 15 February 2019
- Regulatory & Compliance
- Written by PFA News
An investor is claiming that the actions of Ron Carlson’s firm, Carson Wealth of Omaha, Nebraska, resulted in the individuals paying $500,000 in excessive fees. So reports Financial Planning.
Big Insurers Tried to Weaken NY State Investor Protection Rule
- Saturday, 19 January 2019
- Regulatory & Compliance
- Written by PFA News
A host of insurers tried to weaken a proposed rule revision by New York state that would protect consumer from inappropriate sales practices involving retirement savings products. So reports Politico.
Read more...Gov't Shutdown Could Delay Regulation Best Interest
- Saturday, 19 January 2019
- Regulatory & Compliance
- Written by PFA News
The Securities and Exchange Commission’s work on creating Regulation Best Interest could be delayed because the regulator is operating with limited staff as a result of the government shutdown. So reports Advisor News.
Read more...SEC Cracks Down on Robo-Advisers
- Saturday, 05 January 2019
- Regulatory & Compliance
- Written by Chris Frankie
The SEC has fined Wealthfront Advisors $250,000 and Hedgeable $80,000 after alleging that the two robo-advisers made misleading statements. So reports Reuters. Read more...
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