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The commission's barring of one advisor follows similar action by state authorities, indicating that regulators are coordinating their enforcement activities.
February 12 -
Asset managers focus on content marketing with the development of podcasts and even video packages to showcase their expertise.
February 12
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The fund was purportedly a safe investment based on a computer algorithm. In fact, clients dumped millions of dollars into a fund, which later lost 80% of its value in a single month, authorities say.
February 12
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LPL CEO Mark Casady expects "continued pressure on brokerage sales."
February 11
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Miller's fund is structured to make bets based in part on a computer model designed to predict natural disasters.
February 11
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The new proposals may end up being the best thing that ever happened to ETNs.
February 9 -
Good compliance management software means no more overlooked emails, or documents gathering dust in filing cabinets, says BasisCode Compliance CEO.
February 5
BasisCode Compliance -
A FINRA panel ordered the wirehouse to pay a client $95,000 for losses relating to bonds issued by the island commonwealth. By contrast, UBS says it faces more than $1 billion in similar claims.
February 1
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Pooled employer plans and auto-enrollment gain Senate support, but advisors working with those plans could soon be held to a higher fiduciary standard.
January 29 -
The proposal landed at the White House's Office of Budget and Management yesterday for one last review.
January 29
