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The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) will be conducting examinations of more than 50 registered broker-dealers and (RIA) registered ...
Thursday, April 17, 2014
2. Cybersecurity Top Risk For Financial Firms
(Matching tags: cybersecurity,FINRA,advisors,data breach,sec)
The recent massive customer data breaches that have occurred at well-known retailers is causing the government and businesses to take a deeper look into cybersecurity.  ...
Tuesday, April 08, 2014
3. An Open Letter To SEC Chair Mary Jo White: Please Modernize The RIA Testimonial Rule So That Consumers Could Rely On The Web To Connect Them With The Best Advisors
(Matching tags: content marketing,client feedback,regulation,investment advisors,registered investment advisors,client communications,sec,Social Media)
Dear Mary Jo:   The Securities and Exchange Commission needs to modernize – or at the very least provide greater clarity -- about its rule prohibiting RIAs and IA reps from using anything ...
Saturday, November 09, 2013
The Securities and Exchange Commission today announced an award of more than $150,000 to a whistleblower whose tips helped the agency stop a scheme that was defrauding investors.  While the ...
Monday, November 04, 2013
5. Culture Of Compliance
(Matching tags: compliance,sec)
We all hear about maintaining a “culture of compliance,” as required by the SEC.  We are reminded of this concept constantly and it feels as if it’s seared into our brains. It feels ...
Tuesday, October 01, 2013
6. Financial Planning Coalition, Taking On Wall Street And The SEC, In A David Versus Goliath Battle On The Fiduciary Standard
(Matching tags: financial planning coalition,fiduciary standard,FPA,CFP Board,NAPFA,Dodd-Frank,fiduciaries,FINRA,sec)
The Financial Planning Coalition (FPC), in a letter to the Securities and Exchange Commission released today, argues convincingly for the adoption of a fiduciary standard. FPC—a union of the CFP ...
Monday, July 08, 2013
The Securities and Exchange Commission today voted unanimously to propose rules that would reform the way that money market funds operate in order to make them less susceptible to runs that could harm ...
Thursday, June 06, 2013
RIAs better be accurate in disclosing how much money they manage. The Securities & Exchange Commission suddenly seems interested in such disclosures. Umesh Tandon, 37, owner and chief compliance ...
Monday, April 22, 2013
9. SEC Approves New Identity Theft Rules
(Matching tags: sec,ID Theft,identity theft,SEC Rule)
According to a new rule adopted by the SEC on April 10 financial firms will be required to establish identity-theft prevention programs.   ...
Monday, April 15, 2013
The Securities and Exchange Commission yesterday adopted rules requiring broker-dealers, mutual funds, investment advisers, and certain other entities regulated by the agency to adopt programs to detect ...
Thursday, April 11, 2013
With the news today that former Securities and Exchange Commission Chair Mary Schapiro is taking a job at Promontory Financial Group, another powerful former regulator is headed to a lobbying and consulting ...
Tuesday, April 02, 2013
A one-time CFP who was criminally charged with tax fraud in January had his assets frozen yesterday after the Securities and Exchange Commission filed a civil complaint against him, his firm, and his partner ...
Wednesday, March 20, 2013
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations today warned RIAs that it is finding “widespread” non-compliance with the custody rule under ...
Tuesday, March 05, 2013
  The Securities and Exchange Commission is focusing inspections of RIAs on conflicts of interest that rise from being dually registered with a broker-dealer as well as an RIA. The agency says its ...
Friday, March 01, 2013
Former SEC chair Arthur Levitt says the SEC blew its chance to fix the money fund problem. He refused to sign a letter prohibiting another regulatory body (namely, the Financial Stability Oversight Council ...
Tuesday, February 26, 2013
16. If SEC Won't Fix Its Own Problems, Other Regulatory Bodies Will
(Matching tags: Dodd-Frank,regulation,sec)
Taxpayers have been waiting since 2008 for the SEC to take action to prevent a repeat scenario of the worst economic crisis since the Great Depression.   But the Financial Stability Oversight ...
Friday, February 22, 2013
SEC chair Elisse Walter says the commission cannot implement fully the reforms dictated by the Dodd-Frank Act unless Congress grants a budget increase.   The SEC as well as other financial regulatory ...
Thursday, February 14, 2013
The Secretary of the Commonwealth of Massachusetts, in a public letter, is calling on the U.S. Securities and Exchange Commission to prohibit Registered Investment Advisers from inserting mandatory arbitration ...
Wednesday, February 13, 2013
A report published by the Project on Government Oversight (POGO) just a few weeks after Mary Jo White was nominated to head the SEC shows that there was a revolving door between Wall Street executives ...
Monday, February 11, 2013
  New York top prosecutor Eric Schneiderman went after Standard & Poors ratings agency this week. He also submitted inquiries for information from Fitch Ratings and Moody’s Investors Service. ...
Thursday, February 07, 2013
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