Compliance
Would Relaxing The Rules On Capital Reserves Help Or Hurt Broker-Dealers?
- Details Category: Regulatory
Under Dodd-Frank, the SEC is working to remove the credit agencies from their central role in the industry, which includes calculating broker-dealer capital.
SEC Says St. Louis RIA Manipulated Stock Prices ... To Boost His Clients' Returns
- Details Category: Books & Records
After all the recent cases of the SEC cracking down on traders manipulating micro-cap stocks for their own profit, along comes an advisor pushing prices on most of his clients' behalf.
Summit Investigates Former Affiliate For Potential Embezzlement
- Details Category: Registered Reps
A rep who worked with Summit Brokerage Services for about four years has been let go pending the results of a probe into his client dealings.
Michael Oxley Explains What He's Doing As A Lobbyist For FINRA
- Details Category: Regulatory
The co-author of the Sarbanes-Oxley reforms is back in Washington helping Congress get perspective on the Dodd-Frank act -- on behalf of FINRA.
CFB Board Clears Regulatory Hurdle For Demanding Records From Would-Be Members
- Details Category: Books & Records
The SEC has written an official "no action" letter eliminating the threat that CFP Board requests to see advisors' customer complaints will put them in double jeopardy.
