Regulatory & Compliance (359)
SEC: Retail Investors Are Safe from High Frequency Traders
- Friday, 09 May 2014
- Regulatory & Compliance
- Written by PFA News
U.S. Securities and Exchange Commission Chair Mary Jo White says retail investors are not being fleeced by high frequency traders who have alleged been rigging markets. So Reuters reports.
Read more...SEC Alleges Advisor Failed to Protect Clients’ Assets
- Friday, 02 May 2014
- Regulatory & Compliance
- Written by PFA News
Barry Bekkedam, who founded Ballamor Capital in the Philadelphia area, has been charged by the Securities and Exchange Commission with steering $100 million of his clients’ assets into a Ponzi scam. So reports philly.com.
Read more...Schwab to Dish Out $500k for FINRA Violation
- Friday, 02 May 2014
- Regulatory & Compliance
- Written by PFA News
FA The Financial Industry Regulatory Authority has ruled that Charles Schwab violated industry regulations when it sought to keep investors from joining in a class action lawsuit and has fined the firm $500,000. So reports Compliance Week.
Read more...Regulator: Hybrid Advisors Should Review Fees Often
- Friday, 02 May 2014
- Regulatory & Compliance
- Written by PFA News
The Securities and Exchange Commission says brokerage firms that are adding fee-based business through the use of dual registered advisors need to frequently assess if their fees are appropriate. So reports Financial Advisor.
Read more...SEC Falls Short on Cyber Defense
- Sunday, 27 April 2014
- Regulatory & Compliance
- Written by PFA News
The Government Accountability Office has concluded that the Securities and Exchange Commission has failed to take adequate safeguards to protect its data from hackers and other cyber criminals. So reports the Chicago Tribune.
Read more...SEC Mulls Increased Disclosures on Trade Execution
- Sunday, 27 April 2014
- Regulatory & Compliance
- Written by PFA News
The Securities and Exchange Commission is mulling a proposal that would require brokers to disclose where stock trades are executed. So reports Bloomberg.
Read more...SEC Provides Guidance on Cyber Security
- Saturday, 19 April 2014
- Regulatory & Compliance
- Written by PFA News
In a recent document, the Securities and Exchange Commission has spelled out how it plans to ensure that financial firms have taken appropriate actions to defend against cyber security attacks. So reports Reuters.
Read more...Fiduciary Standard Advocates Offer New Criticism of Suitability Standard
- Saturday, 19 April 2014
- Regulatory & Compliance
- Written by PFA News
Advocates of extending the fiduciary standard to brokers have presented the Securities and Exchange Commission with what they claim is “empirical evidence” that the suitability standard now used by registered reps is harmful to retail investors. So reports ThinkAdvisor.
Read more...FINRA Backs Off Efforts to Oversee RIAs
- Saturday, 12 April 2014
- Regulatory & Compliance
- Written by PFA News
Financial Industry Regulatory Authority Chairman and Chief Executive Officers Richard Ketchum says the organization has lost interest in widening its oversight to registered investment advisors. So reports InvestmentNews.
Read more...SEC Chair Taking Non-Partisan Approach
- Saturday, 05 April 2014
- Regulatory & Compliance
- Written by Chris Frankie
Securities and Exchange Commission Chairwoman Mary Jo White is winning praise for taking a non-partisan approach to leading the regulator. So reports Time.
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