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The regulator postponed until October a ruling on whether listing rules can change to allow two cryptocurrency funds to start trading.
August 13
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Critics reject the notion that disclosure alone is sufficient for reigning in conflicts — but the charges against Commonwealth have put BDs on notice.
August 12
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Reports of the death of fiduciary differentiation have been greatly exaggerated, contends fiduciary advocate Knut Rostad.
August 12
Institute for the Fiduciary Standard -
Prosecutors said Robert Shapiro used investor money for his $6.7 million home and $3.1 million for chartering planes and for personal travel.
August 9 -
A barred and terminated former Securities America advisor’s conduct was “appalling, reprehensible and evil,” according to a federal judge.
August 8
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An RIA owner accused the custodian of aiding his chief compliance in setting up a competing firm.
August 7
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The asset manager said it’s seeking a head of ETF capital markets in a post on LinkedIn.
August 7
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The SEC rule was based on a flawed assumption and fell far short of what it promised. As a result, states are forging ahead with their own fiduciary rules.
August 5
Securities Arbitration Clinic at the Law School of St. John's University -
Rather than learn from the mistakes exposed regarding false listings of advisors’ “fee-only” status, the board doubled down on looking the other way.
August 2
Wealth Logic -
The firm didn't disclose its conflicts of interest in receiving over $100 million in revenue sharing from mutual funds over nearly five years, the SEC says.
August 1
