Regulation

FINRA has increasingly put more firms on notice that they should expect their branch office doorbells to ring more often. In the past two years, FINRA has changed its approach when conducting examinations, favoring branch office inspections in lieu of the home office visits that it used to emphasize, said Susan Axelrod, executive vice president of regulatory operations at FINRA, at the self-regulatory organization’s annual conference on Monday.

SEC Commissioner Elisse Walter endorsed a uniform fiduciary standard for all investment pros … then invited her audience to fight industry fraud and abuse by becoming whistleblowers

The Securities Industry and Financial Markets Association named former New Hampshire governor and U.S. senator Judd A. Gregg as its next chief executive officer.

Only about 2,100 SEC-registered investment advisors switched their registration to state oversight, according to the North American Securities Administrators Association -- roughly half the number that the SEC estimated would switch as a result of the Dodd-Frank Act.

The Securities Industry and Financial Markets Association named former New Hampshire governor and U.S. senator Judd A. Gregg as its next chief executive officer. Gregg is known for advocating bipartisan approaches to balancing the national budget.

The Financial Industry Regulatory Authority will present the latest on fiduciary rules, enforcement and other issues affecting financial advisors at its annual three-day annual conference opening today in D.C.

The House passed a controversial bill on Friday requiring the Securities and Exchange Commission to conduct additional economic analysis on its rules.

A U.S. District Court ordered a former Ameriprise advisor to serve a year of house arrest and pay restitution for defrauding a client.

Andy Brooks just wants to get something done, about the structure of equity markets.

New rules being considered for U.S. money-market mutual funds will make them safer for investors while forcing some smaller providers out of the business, Moody’s Investors Service analysts said this week in a research report.