sec

12th Annual Evolution/Revolution Study Shows Small Firms Continue To Dominate The Industry
2013 Federal Budget Proposal Earmarks More SEC Funds For Advisor Examinations
AARP Joins Fiduciary Debate Alongside CFP Board, Financial Planning Association, And Other Consumer And Professonal Associations To Oppose Broker/Dealers And SIFMA
ADV Deadlines In Flux For State-Registered RIAs In Many Parts Of The Country
AdvisorOne Conducts Advisor Poll Weighs In On Who Should Be Schapiro's Successor And What Should Be The SEC's Top Priorities
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
Another Advisor Claiming To Be A Fiduciary Accused Of Defrauding Investors
Arrest Warrants Out For Alleged Ringleaders Of $32 Million M&A Insider Trading Scheme
Banks, Congress Still Bickering Over Consumer Finance Bureau
Broker-Dealer Wounded By Private Placements Winds Down, But Not Before Finding 100 Advisors A New Home
California Advisor Stole $3 Million From Clients, SEC Alleges
Can Google Regulate Financial Advisors?
Chicago-Based MBA And Derivatives Consultant Points To Fraud As Cause Of 2008 Crisis
Cleaning Up Real Estate Fund Failures Still Keeping SEC Enforcers Busy, Years After The Crash
Clients Need Greater Disclosure And Clear Language In Choosing Advisors
Compliance Consultant Says New Form ADV Will Do Little To Improve Consumer Disclosure
Congress Scrapes Up Another $136 Million For The SEC, But Will That Ease The Regulatory Crunch?
Congressional Hearing On Bachus-McCarthy Bill Yields Inconlusive Delay
Culture Of Compliance
Cybersecurity Top Risk For Financial Firms
Decisions On Fiduciary Standard And Regulator Of RIAs Delayed Officially
District Judge Challenges SEC Settlement System As More "Half-Baked Justice"
Do FINRA and SEC Disclosures Drive You Nuts? Here's Your Chance To Let The SEC Know How To Fix It
Dodd-Frank "Too Popular" To Kill Outright, Barney Frank Says
Dodd-Frank Legislation To Be Reviewed During Entire Month Of July
Does Advising On IRAs Make You A Fiduciary And Can A Computer Model Absolve You Of Your Fiduciary Responsibility?
Enforcement Actions Against Investment Advisors Have Doubled Since 2009
Fighting The Regulators Pays Off For A Shocking Number Of Firms Accused Of Misconduct
Financial Planning Coalition Delivers 5,000 Signatures In Favor Of Universal Fiduciary Standard
Financial Planning Coalition, Taking On Wall Street And The SEC, In A David Versus Goliath Battle On The Fiduciary Standard
FINRA As SRO Battle Heats Up As Industry Participants Form Lobbying Group
FINRA Comes Up Short In Examination By Government Accountability Office
FINRA Creates Interim Form For Crowdfunding Portals And Will Use Information Gathered To Formulate Rules
FINRA Requests Comment On Ways To Increase Investor Use Of BrokerCheck: My Suggestion Is To Consolidate Advisor Licensing Databases And Open It To Search Engines
FINRA Seems Determined To Fulfill Its Business Growth Goals Despite Falling Membership Numbers
FINRA's Rick Ketchum Calls RIA Arguments Against SRO A "Red Herring"
Former Owners Of First Allied Securities Get SEC Probe Notice
Former SEC Chair Levitt Says Since SEC Did Not Pursue Money Fund Reform, FSOC Certainly Should
Former SEC Chair Schapiro Reportedly Joining Consulting Firm; Another Former Regulator Cashes In On Contacts In A Subtle, Legal Form Of Corruption
Funding Compromise For SEC May Be Worst Of Both Worlds
Government Accountability Office (GOA) Says FINRA Should Review 10 Of Its Rules
Hedge Funds Will Become More Of A Target For SEC When JOBS Act Provision Is Enacted
House Republicans Fire Back At What They See As An Out-Of-Control SEC
Huntington Beach Advisor Accused Of Gross Inflation Of AUM
Identity Theft Rule Adopted By SEC; Provides New Guidance And Red Flags About How BDs and RIAs Must Protect Clients
If You Get A Letter Of Inquiry From FINRA, The Best Action Is To Answer It
If You Outsource IT, Be Sure Your Vendor Knows The Financial Services Business
Implementation Of Proposed Private Issuer Advertising Rule May Result In Litigation For SEC In 2013
In A Show Of How The SEC Is Tightening RIA Compliance, A Chicago Advisor Is Barred From Securities Business
Insurance Broker Aon Pays $16 Million To Settle Charges That It Bribed Prospects To Sign Up
Investment Adviser Charged By SEC For Failing To Adopt Proper Cybersecurity Polices And Procedures
It's Official: The SEC Is Checking ADV Claims And Punishing "Creative" Errors
JP Morgan Chase Mutual Fund Sales Scandal Shows SEC Is A Joke At Investor Protection: RIAs Should Rise Up Against The SEC And Be Advocates For Investors
Make It Real: A Guide To Tapping The Power Of Doing The Right Thing
Mandatory Advisor Exams Are Out At The SEC, "High-Risk" Screening Is In
Mark Spangler Indicted On 23 Counts Of Fraud And Money Laundering; Government Seeks $41.7 Million
Mary Schapiro Gears Up For 2012 SEC Budget Fight, Clarifies Goals
Mary Schapiro Pleads The SEC's Case For More Money, But Does The Independent Audit Help Or Hurt Her?
Mary Schapiro Still Committed To Universal Fiduciary Standard, Warns On SEC Funding Issues
Mary Schapiro Takes New Findings On Former Top Lawyer's Madoff Conflict Of Interest "Very Seriously"
Massachusetts Calls On SEC To Prohibit RIAs From Using Mandatory Arbitration Clauses, Saying It Is "Troubling," Widespread And Not Consistent With Fiduciary Practice
Mets Blame Their Madoff Woes On Too Much Trust In The SEC
Michael Oxley Registers To Lobby For FINRA To Regulate RIAs
New House Budget Proposal Trims Dodd-Frank But Leaves Most Of The Reforms Intact
New SEC Commissioner Already Eager To Drag His Feet
News Analysis: The Real Story Behind The SEC Warning That It Has Found “Widespread” Violations By RIAs Of The Custody Rule
Obama Nominates Securities Lawyer To SEC, But Don't Expect It To Speed Up Decisions On Regulatory Reform Issues Affecting Independent Financial Advisors
One-Time CFP, Long-Time Financial Planner Charged With Stealing Client Money On Top Of Previous Charges Of Tax Fraud
Performance Reports Closely Scrutinized By SEC In Barring Investment Advisor Representative; A Lesson To Principals On Disclosing Reasons For Terminating Employees
POGO Report Shows Possible Influence Of Wall Street Executives On SEC Policy And Enforcement Decision Making
Private Placements Earn Capital Financial Services A Cease & Desist Order
Prominent Advisors Come Out In Favor Of Student-Created RIA Regulator
Recent SEC Case Proves That Even CPAs Can Lie
Registered Reps With Their Own Independent RIA Must Keep Their Own Email And Social Media Archives In Addition To Their Broker-Dealer's Records
Researching The Advisor Tied To The Soccer Mom Who Allegedly Ran A Prostitution Ring Shows Why FINRA BrokerCheck Stinks And Why SEC And FINRA Are Not Trusted
Rhoades Steps Down As Chair-Elect Of NAPFA Over Registration Errors; Advisors Say Compliance Violations Are Easy To Make; Need To Outsource Compliance Is Increasing
RIAs Can't Be Consumer Advocates If They Disregard SEC Advertising Rules By Using Social Media Apps Without Archiving Their Posts
RIAs Don’t Seem To Care Very Much About The Regulatory Debate; Reaction To Last Week’s FINRA-SRO News Was Muted
Sad Case: Houston Advisor Under SEC Investigation Kills Self, Revealing Dark Side Of Sports-Investing Business
Schapiro To House: SEC Needs $1.4 Billion To Hire 780 New People
Schwab Is Instituting Automatic Suitability Warnings On Exchange Traded Notes (ETNs)
SEC Agrees To Propose Rule With 30-Day Comment Period That Would Allow Issuers Of Private Investors To Advertise To The Public
SEC Approves New "Switch" Rule for Mid-Sized Investment Advisors
SEC Approves New Identity Theft Rules
SEC Approves Separate Registration For Backoffice Staff, But Lawyers Still Worry
SEC Chairman Mary Schapiro To Step Down In Three Weeks
SEC Confesses It Will Probably Never Be Able To Supervise RIAs As Often As Congress Wants
SEC Cracks Down On $7 Million Alleged Ponzi Scheme
SEC Extends For Two Years Principal Trading Rule For Non-Discretionary Accounts
SEC Forms New Committee In Line With Dodd-Frank
SEC Impersonator Not Winning Friends At The Regulator
SEC Internal Probe Blasts The Regulator's Office Space Usage As Wasteful And Overly Ambitious
SEC Now Facing Legal Pressure From Allen Stanford's Aggrieved Clients
SEC Proposes Deeper Scrutiny Of Broker-Dealers
SEC Rewards Whistleblower With $150,000 Payout; This Is One Part Of Dodd Frank That Is Working
SEC Says St. Louis RIA Manipulated Stock Prices ... To Boost His Clients' Returns
SEC Seeks Comments On Investor Education Programs
SEC Shifts The Hot Seat On Structured Product Sales From Due Diligence To Suitability
SEC Shuts Down "Major League Baseball" Celebrity Prospecting Scheme
SEC Spends Funds On Mandated Consulting But Can't Afford To Implement Recommendations
SEC Staff Says It Will Make Conflicts Of Interest Of Dually-Registered RIAs An Areas Of Focus Of RIA Examinations In 2013
SEC Staffing Up Fast To Monitor...Hedge Funds, Derivative Traders
SEC Vows Again To Get Tough On ADV Frauds
SEC Whistleblower Rewards Could Generate A Flood Of Tips
SEC's New Investor Advisor Committee Focuses On Investor Needs Rather Than Fiducairy Status Of Intermediaries
SEC's Schapiro Steps Up Efforts To Ensure Integrity And Capacity Of Computer Program Traders
Securities Lawyer's Frustration Over SEC Pornography Scandal Hits FOIA Brick Wall
SRO Bill Introduced In The House Will Likely Fail In The Senate
Switch Of Mid-Size RIAs To State Supervision Is Official
Switch To State Regulation May Be The Closest Thing To An Audit Some RIAs Have Ever Experienced
Texas, Other States Banking On RIA Deadline Extension
The Battle Between SIFMA And The Institute For The Fiduciary Standard Heats Up
The Deadline For Filing For State Registration Is Next Week!
The Margin Between State And SEC Regulation Widens To Give RIAs More Flexibility
The SEC Has Published A Cybersecurity Preparedness Guide, Will You Pass The Audit?
The SEC Is Updating Its Technology Systems To Better Detect Fraud
U.S. Chamber Of Commerce Argues That SEC Needs Streamlined, FINRA Needs Reined In
UBS Pays $160 Million In Muni Bond Charges
What The SEC Plans To Do If The Government Shuts Down
With So Little Action On Dodd-Frank Over The Past Two Years, Many Are Dubbing It Dud-Frank
Would Relaxing The Rules On Capital Reserves Help Or Hurt Broker-Dealers?