Regulatory & Compliance (359)
SEC Considers Adopting Fiduciary Standard for Brokers
- Sunday, 17 February 2013
- Regulatory & Compliance
- Written by Staff Writer
Securities and Exchange Commission Chairwoman Elisse Walter says a proposal to apply fiduciary standards to registered reps that is already imposed upon registered investment advisors is being seriously considered by the regulator, reports AdvisorOne.
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SEC Identifies Shortcomings in Protecting Client Data
- Sunday, 17 February 2013
- Regulatory & Compliance
- Written by IAW News
The Security and Exchange Commission’s Office of Compliance Inspections and Examinations has issued a report that identifies common weaknesses in how broker-dealers keep client data confidential, reports Lexology.com.
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FINRA Won’t Pursue Expanded Role with RIAs
- Sunday, 17 February 2013
- Regulatory & Compliance
- Written by IAW News
The Financial Industry Regulatory Authority is backing away from its efforts to become the regulator of registered investment advisors, Reuters reports.
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Investment Advisor Pleads Guilty to $2.5M Scam
- Friday, 08 February 2013
- Regulatory & Compliance
- Written by IAW News
Advisor Benjamin Daniel DeHaan of Decatur, Ga., has pled guilty to embezzling more than $2.5 million from approximately 50 clients, reports the Atlanta Business Journal.
Finra Wants Easier Investor Access to Broker Background Checks
- Friday, 08 February 2013
- Regulatory & Compliance
- Written by IAW News
The Financial Industry Regulatory Authority (FINRA) is proposing requiring brokerage firms’ websites to have links to its broker background check website, reports Reuters.
Read more...GOP Vows Battle Over Consumer Financial Protection Bureau
- Friday, 08 February 2013
- Regulatory & Compliance
- Written by IAW News
Republican Senators say they will block nominees to lead the Consumer Financial Protection Bureau if reforms to the consumer watchdog aren’t made, reports thehill.com.
Read more...Regulator Orders LPL to Pay $2M Over REITs
- Friday, 08 February 2013
- Regulatory & Compliance
- Written by IAW News
LPL Financial has been ordered by the Massachusetts Security Division to pay investors $2 million in restitution related to selling shares of a private real estate investment trust (REIT), reports InvestmentNews.
Read more...FINRA to Focus on Anti-Money Laundering Regs
- Saturday, 02 February 2013
- Regulatory & Compliance
- Written by IAW News
Regulatory exams by the Financial Industry Regulatory Authority will focus on compliance with anti-money laundering regulations this year, reports Reuters.com.
Read more...President Appoints New SEC Chief
- Sunday, 27 January 2013
- Regulatory & Compliance
- Written by IAW News
President Barack Obama has named Mary Jo White as the chairwoman of the Securities and Exchange Commission, reports AdvisorOne.
SIFMA Continues Push for Fiduciary Standard
- Saturday, 19 January 2013
- Regulatory & Compliance
- Written by IAW News
The Securities Industry and Financial Markets Association (SIFMA) is continuing to encourage the Securities and Exchange Commission to impose a uniform fiduciary standard that would apply to broker-dealers, reports onwallstreet.com.
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