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FINRA appears to be pulling back from its campaign to regulate RIAs -- and advisors couldnt be happier.
February 7 -
When it comes to understanding white collar criminals, Walter A. Pavlo, Jr. wants financial services professionals to know one thing: they look a lot like them.
February 5 -
The Securities and Exchange Commission promoted George Canellos, currently Deputy Director of the Division of Enforcement, as Acting Director. The appointment is effective February 8.
February 5 -
BlackRock the worlds biggest money manager, is accused in a lawsuit by two pension funds of reaping grossly excessive compensation from securities- lending returns associated with iShares.
February 5 -
The Financial Industry Regulatory Authority's municipal market priority this year will be ensure that brokers adequately disclose risks associated with tax-exempt bonds backed by revenue from private and nonprofit entities, which have significantly higher default rates than general obligation bonds.
February 5 -
BlackRock the worlds biggest money manager, is accused in a lawsuit by two pension funds of reaping grossly excessive compensation from securities- lending returns associated with iShares.
February 4 -
The Securities and Exchange Commission last month promoted George Canellos, currently Deputy Director of the Division of Enforcement, as Acting Director
February 4 -
The Securities and Exchange Commission's municipal bond office has sent a so called "no-action" letter to NetRoadshow Inc., paving the way for the firm and its underwriter clients to present Internet-based "road shows" on municipal bond offerings to retail investors.
February 4 -
The regulator will collect about $800,000 in fines for stock and options trading and trade reporting violations at over a dozen brokerages, according to the regulator's January disciplinary actions report.
February 1 -
Stadion Money Management has found itself a new distribution partner.
February 1
