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If federal regulators move ahead with a plan to impose a uniform fiduciary standard of care on investment advisors and broker-dealers, financial professionals anticipate that the cost of doing business will increase, with a result of higher client fees and more limited services, according to a new survey.
July 5 -
Sen. Pat Roberts, R-Kan., and Rep. Tom Price, R-Ga., have introduced legislation in the Senate and the House to block foreign governments from collecting taxes on securities transactions.
July 5 -
By now, the Securities and Exchange Commission's newly-minted Chair Mary Jo White must be inundated with advice on how to succeed at her job from sources near and far.
July 3 -
2012 marked a strong year for FINRA. In addition to rebounding from four years in negative territory to post $10.5 million in profit for the year, the independent securities regulator also enhanced their regulatory programs. It also saw executive compensations (for the most part) increase. Check out whose compensation soared, and whose did not.
July 2
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The number of disciplinary actions rose as the regulator invested in new platforms and technology to broaden oversight.
July 2 -
The Securities and Exchange Commission has named Julie Riewe and Marshall Sprung as co-chiefs of the Division of Enforcements Asset Management Unit, a national specialized unit that focuses on misconduct by investment advisers, investment companies, and private funds.
July 2 -
Frustrated by a lack of response from regulators on the ability to pay exemption, the industry trade group says its going to take action this time.
July 1 -
Our legal expert discusses how to deal with FINRA investigation.
July 1 -
Preparation and communication are key to a smooth visit with FINRA.
July 1 -
At the recent FINRA conference, SEC Commissioner Elisse Walter endorsed advisor "gold standard."
July 1
