Regulatory & Compliance (359)
FINRA Clarifies Definitions of ‘Customer’ and ‘Investment Strategy’
- Saturday, 15 December 2012
- Regulatory & Compliance
- Written by IAW News
The Financial Industry Regulatory Authority (Finra) has clarified definitions of the terms “customer” and “investment strategy,” according to AdvisorOne.com.
Read more...FINRA May Require Brokers to Disclose Bonuses
- Saturday, 08 December 2012
- Regulatory & Compliance
- Written by IAW News
Congressman: SEC Security Breaches Are Frightening
- Sunday, 02 December 2012
- Regulatory & Compliance
- Written by IAW News
Advisors Fear Expanded Role by FINRA
- Sunday, 02 December 2012
- Regulatory & Compliance
- Written by IAW News
Some advisors say they fear a new FINRA arbitration program for Registered Investment Advisors may allow the regulator to expand its regulatory clout beyond broker dealers, reports the Wall Street Journal.
Read more...- K2
- Kurena
- shortcode
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- The Press of Atlantic City
- PNC Financial Services
- Business
- Banking Services
- Financial Services
- PNC Bank
- Issuers
- Joomla templates
- Wordpress
- Credit card
- The Press of Atlantic City
- PNC Financial Services
- Business
- Banking Services
- Financial Services
- PNC Bank
- Issuers
- Joomla templates
- Wordpress
- FINRA
- Registered Investment Advisor
- SEC
- Joomla templates
- Wordpress
SEC Offers Leeway for Firms Hit by Sandy
- Sunday, 18 November 2012
- Regulatory & Compliance
- Written by Staff Writer
The SEC is offering conditional exemptions of regulatory reporting requirements to investment advisors, publically traded companies and other registrants that have been adversely impacted by Superstorm Sandy. So reports Millionaire Corner.
Read more...
SEC Concluding Busy Year of Enforcement Actions
- Sunday, 18 November 2012
- Regulatory & Compliance
- Written by Staff Writer
FINRA Shuts Down Advisor
- Sunday, 11 November 2012
- Regulatory & Compliance
- Written by Staff Writer
FINRA has announced it has expelled New York-based Hudson Valley Capital Management and barred its CEO from the securities industry.
Read more...Finra Arbitration to Expand to Investment Advisors
- Monday, 05 November 2012
- Regulatory & Compliance
- Written by IAW News
Arbitration handled by the Financial Industry Regulatory Authority (Finra) has traditionally been offered for disputes involving broker-dealers, but it is expected to be made available for issues with Registered Investment Advisors (RIAs). So reports Investment News.
Read more...Sandy Puts Advisors’ Disaster Plans to the Test
- Monday, 05 November 2012
- Regulatory & Compliance
- Written by Investment Advisor Weekly
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