Displaying 12 results
New DOL rule no big deal, says Stifel’s Kruszewski
"It appears to be less restrictive than what was proposed," says CEO.
Silver-coin IRA seller settles with CFTC over alleged $68M fraud
Safeguard Metals allegedly steered retirees who cashed out of IRAs toward high-markup silver coins
SEC’s delay on climate disclosure rule leaves companies in limbo
Few companies have goals in place that would reduce their greenhouse gas emissions in line with Paris goals, according to MSCI.
Trading app fined $3M for letting youngsters trade options spreads
Webull Financial failed to conduct adequate due diligence on customers, Finra found, but the company did not admit or deny fault.
Hey SEC, please clarify fiduciary duty so I can enjoy college hoops again!
I was watching my alma mater play a crucial conference game when a commercial from a financial firm sparked a debate on fiduciary duty.
Regulators scrutinize ESG more closely as greenwashing explodes
Researchers have raised questions about the credentials of money managers who claim they are marketing funds designed to address the climate crisis and social injustice.
New SEC chair faces challenges from other regulators
The responses of other federal agencies concerned about developments in securities markets may conflict with the SEC's core missions.
Wall Street banks summoned by regulators over Hwang’s blowup
The Securities and Exchange Commission summoned the banks for hasty meetings on what triggered the forced sale of more than $20 billion of stocks linked to Hwang’s Archegos Capital Management.
State regulators probe whether investors get money’s worth from subscription fees
State regulators have been expressing concern that new fee structures sometimes don’t align with services provided. The issue will continue to be a priority this year.
State regulators flexed enforcement muscle in 2019
The NASAA report shows last year produced the most actions taken and money returned to investors in five years
B-Ds may be more likely to recommend complex products than RIAs
The NASAA report analyzed the results of a benchmarking exam taken prior to implementation of Reg BI
Incite: Regulators need babes, bucks, and a share of the spoils
Forget new regulations -- just dangle a bigger bone in front of Wall Street watchdogs
