Displaying 3266 results
Merrill Lynch revises mutual fund compensation ahead of Reg BI
The brokerage will level the pay its advisers receive for the sale of some share classes, among other changes
Some seek SEC guidance on whether RIAs must disclose COVID-19 loans
Other compliance experts say it’s not necessary unless the firm’s financial problems extend beyond virus stress
Coronavirus pandemic delays final New Jersey fiduciary rule
Governor extends the deadline for regulations until 90 days after the health emergency ends
Finra review shows paths brokerages take to implement Reg BI
Experts say Finra, SEC will focus on firms' process for achieving compliance
To spur lending, SEC loosens restrictions on business development companies
The regulator proposed easing calculations that determine asset coverage ratios, giving BDCs additional flexibility to issue securities
Finra rule would require stronger supervision of rogue brokers
The proposal allows hearing officers to impose additional supervision requirements for brokers involved in disciplinary matters
Brokers try to figure out what ‘good faith efforts’ mean for Reg BI implementation
SEC has released risk alerts outlining examination expectations for Reg BI, Form CRS
State regulators concerned about impact of COVID-19 on private markets
NJ securities chief warns that private placements may be used for virus-related frauds
SEC maintains deadline for Reg BI
The major investment-advice rule remains on track despite calls to delay implementation amid the COVID-19 crisis
SEC further extends filing deadline; Finra pushes arb hearings back again
New SEC order eases requirement for advisory firms to explain why they need to delay ADVs
Remote regulation to add new hurdles
Working from home would mean depending on telephone, video or online outreach
Senators can’t rely on ‘my adviser did it’ excuse to dodge insider-trading questions
Former SEC enforcement official says lawmakers should have set up blind trusts or automated trading
Advisers should think twice about taking the SEC up on its ADV filing extension
Firms admitting their business continuity plans didn’t hold up amid the panic caused by the coronavirus is ‘not a good look’
Federal court finds RIA guilty of fraud
The case, brought by the SEC, involved undisclosed compensation
SEC bars former Merrill Lynch adviser over alleged $1.7 million fraud
The Chicago broker had been fired by the wirehouse and previously barred by Finra
SEC extends Form ADV deadline for advisory firms affected by COVID-19
Registered investment advisers will have 45 extra days to file ADVs, brochure updates
Finra files rule clarifying where Reg BI supersedes suitability standard
Broker-dealer regulator says Reg BI will clamp down on sales contests
SEC bars former wirehouse broker over $1.6 million fraud
The former rep at Wells Fargo and Morgan Stanley was sentenced to 30 months in prison last month
SEC freezes adviser’s assets over alleged $39 million fraud
The investment adviser sold unregistered securities to at least 30 investors, according to the complaint
CFP Board defends decision to remove compensation descriptions from website
CEO Kevin Keller: ‘It’s about fiduciary, not about fees.’
