Compliance
Do FINRA and SEC Disclosures Drive You Nuts? Here's Your Chance To Let The SEC Know How To Fix It
- Details Category: Advertising Compliance
Do you think advertising disclosure rules are unnecessarily complicated? Unfair? How would you improve them? Here’s your chance to let the Securities and Exchange Commission know your ideas for making the system better.
Massachusetts Regulators Suggest Disclosure For Advisors Whose Clients "Like" Them
- Details Category: Advertising Compliance
After an exhaustive study, the Massachusetts Securities Division has concluded that state-regulated advisors can use social media as long as they treat the communications as advertising -- and are mindful of the interactive nature of the format.
Religious-Themed Ponzi Schemes Still Preying On Investors
- Details Category: Regulatory
Investment scams often target religious communities, with Hasidic Jews and Amish congregations being taken in over the last year. The latest wave to come to the surface has bilked Mormons and Protestant believers out of $17 million.
No Supreme Court Ruling On Claims The NASD Lied To Create FINRA
- Details Category: Regulatory
The Supreme Court will not be hearing a broker-dealer's arguments that the NASD lied to member firms to get them to agree to the creation of FINRA.
Broker Auditor Gets Green Light To Charge Big Players More
- Details Category: Registered Reps
It's getting more expensive for the biggest brokerage firms to pay for their channel's supervision, but they won't know for months exactly how big their share of the bill will be.
More Articles ...
- Performance Reports Closely Scrutinized By SEC In Barring Investment Advisor Representative; A Lesson To Principals On Disclosing Reasons For Terminating Employees
- SEC To RIAs: Don't Use Facebook "Like" Buttons; SEC Provides Guidance On What Constitutes A Testimonial
- The SEC Has So Much On Its Plate That Advisory Regulation, Fiduciary Rules Are Rolling Off
- Disputes Over Axys Performance Numbers No Excuse For Fudging Client Reports, SEC Says
