Compliance

Peter H. Sargent explains why he chose Janney. A 20-year veteran and top producer at Merrill, Sargent boasts $250 million in client assets.

FINRA is seeking input regarding changes it is weighing with respect to BrokerCheck. The proposed changes prompted a swift and strong response from readers on Financial Planning’s discussion boards.

The new regulations follow a model that the North American Securities Administrators Association passed in December.

State Street’s SPDR Morgan Stanley Technology ETF MTK announced that it had received a $108,328 payment from a class action settlement related to Juniper Networks, Inc. The SPDR has slightly more than 2.7 million shares outstanding, meaning that the payment will translate into just over 4 cents of gain per share.

BATS Global Markets said the SEC's Division of Enforcement is looking at its methods for developing new order types as well as how it develops its information technology systems.

The Commodity Futures Trading Commission voted to approve new rules governing, among other things, when swaps dealers can delay reporting on the size and price of their block trades.

Here’s an interactive slide show detailing five advisors who have already found themselves in the SEC’s crosshairs this year.

New information FINRA is exploring adding to the BrokerCheck system could include the reason for and comments related to a broker’s termination as well as scores on industry qualification exams.

The capital markets industry will increase its spending 8.5 percent a year on technology that combats financial crimes, through 2015.

“With our economy in the shape it’s in, and saving for retirement more difficult than ever, it was critical that this troubling provision be stripped from the bill,” according to a statement from FSI President and CEO Dale Brown.

A Financial Industry Regulatory Authority arbitration panel ordered Memphis-based Morgan Keegan & Co. to pay a Birmingham investor $1.95 million for misrepresenting that the Jefferson County, Ala., sewer bonds he purchased were safe, liquid and tax-free investments.

A sports agent, whose company represents star clients including Denver quarterback Tim Tebow, won $400,000 in a ruling against brokerage Morgan Keegan & Co., due to personal losses from bad bond investments.

Prompted by a delay in a big trade at a popular ETF, the SEC is taking a closer look at a possible connection between high-frequency traders and hedge funds jumping in and out of ETFs, and instances where ETF trades fail to settle on time.

The Securities and Exchange Commission (SEC) could be hampered down in conducting oversight and regulatory actions granted back in 1934 thanks to a new bill that passed through the House Financial Services Committee yesterday.

Here are 10 global investment predictions for 2012 that advisors and their clients should be monitoring through the rest of the year.

Going forward, investment advisors will no longer be able to include the value of an investor's home in a new $1 million minimum of investable assets now required to charge performance fees, according to the SEC, which is tightening its rule around fees.

What terms will you need to get familiar with as clearing of what can be considered exchange-traded swaps starts up? Here’s one answer, in a gallery of key acronyms.

Seventeen muni groups are urging members of Congress to reject President Obama's proposal to place a 28% cap on the value of tax-exempt interest, warning it will hurt the market and that its retroactivity will reverse nearly 100 years of legislative history.

NYSE Technologies, the commercial technology unit of NYSE Euronext, has launched a post-trade monitoring tool for compliance officers.

A year ago, the firm’s more than 4,000 advisors in the United States had to manually submit each post in advance for review. Now, Raymond James Financials has automated the compliance and publishing process, to speed up communications with customers.