Regulatory & Compliance (359)
Brokers Lie When Selling Muni Bonds: Edelman
- Friday, 19 April 2013
- Regulatory & Compliance
- Written by IAW News
Retail investors are frequently subjected to lies from brokers who sell muni bonds, says well known advisor Rick Edelman. So reports Financial Advisor.
Read more...Finra, SEC Clamp Down on Compliance Chiefs
- Saturday, 06 April 2013
- Regulatory & Compliance
- Written by IAW News
FINRA and the SEC took disciplinary actions last year against chief compliance officers at broker-dealers and investors advisors for a wide range of issues, including anti-money laundering deficiencies, false representations to staff, failure to supervise, and causing primary violations.
Read more...Tax Overhaul May Involve Higher Investment Taxes
- Saturday, 06 April 2013
- Regulatory & Compliance
- Written by IAW News
Orrin Hatch, the top Republican on the Senate Finance Committee, recently acknowledged that higher investment taxes are going to be considered as part of a reform initiative that seeks to lower income taxes, reports Politico.com. Read more...
Durbin Seeks Social Security Reform Commission
- Saturday, 30 March 2013
- Regulatory & Compliance
- Written by IAW News
Dick Durbin, who is the assistant Senate Democratic leader, plans to introduce legislation that will create a task force that will seek ways to shore up the U.S. Social Security retirement system, reports Reuters.
Read more...Investors Want More Scrutiny of Advisors
- Saturday, 30 March 2013
- Regulatory & Compliance
- Written by IAW News
A recent survey by the Financial Planning Coalition revealed that 80% of respondents think the federal government isn’t doing enough to protect consumers from being taking advantage of by financial advisors, reports Insurance & Financial Advisors.
Read more...FINRA Head Wants Harmonized Regs
- Saturday, 23 March 2013
- Regulatory & Compliance
- Written by IAW News
FINRA CEO Richard Ketchum said regulators for advisors and registered reps need to be harmonized.
Read more...Swiss Advisor Discloses Names of Tax Cheats by Mistake
- Saturday, 16 March 2013
- Regulatory & Compliance
- Written by IAW News
U.S. officials have charge 60 people with evading taxes on $184 million in assets after their Swiss banker, Beda Singenberger, mailed a list of the individuals to the wrong recipient, reports the Guardian.
Read more...Wirehouses Support Disclosure of Broker Recruitment Incentives
- Saturday, 16 March 2013
- Regulatory & Compliance
- Written by IAW News
Merrill Lynch, Morgan Stanley and UBS have expressed support of a Finra proposal that would require firms to disclosure recruitment incentives they use to encourage brokers to switch firms, reports AdvisorOne.
Read more...Finra Dumps Judicial Class Action Waiver Ban for Brokers
- Saturday, 09 March 2013
- Regulatory & Compliance
- Written by IAW News
Finra has ruled that its own rule prohibiting the use of judicial class action waivers in broker-dealer customer agreements is invalid. That’s because regulation of the matter is preempted by the Federal Arbitration Act, reports Lexology.com.
Read more...SRO Could Improve Exams of Advisors
- Saturday, 09 March 2013
- Regulatory & Compliance
- Written by IAW News
A self regulatory organization for registered investment advisors would allow for more effective examinations of registered investment advisors, according to former Securities and Exchange Chairman Harvey Pitt, reports AdvisorOne.com.
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