Displaying 3266 results
David Tittsworth, longtime leader of Investment Adviser Association, dies
At 2012 congressional hearing, he helped derail bill on Finra oversight of advisers
SEC charges barred ‘adviser’ with fraud
Thomas Renison, who was barred by the SEC in 2014, raised $6 million in scam
SEC won’t offer any grace period for Reg BI compliance
In its annual examination priorities letter, the agency also shows it is once again targeting fee disclosure
Brokerage industry opposes Massachusetts fiduciary rule proposal at hearing
Investor-protection advocates don’t expect state to water down measure
New York wealth manager to plead guilty in fraud case
Former COO of M&R Capital Management was charged with bilking the firm of about $6 million
Reg BI allows brokers doing planning to avoid becoming fiduciaries: FPA
Group files amicus brief in support of lawsuits seeking to overturn regulation
Advisers welcome potential regulatory scrutiny of ESG investing
Possible SEC involvement could bring more clarity to what qualifies as socially responsible
State insurance commissioners poised to approve annuity sales best interest rule
NAIC leader touts increased protections; consumer advocates say measure falls short
SEC charges California RIA with fraud in connection with radio show
Agency says Keith Springer also tried to hide previous regulatory problems
MetLife fined $10 million over missing pensioners
Insurer's policies for locating annuity customers resulted in errors in accounting for reserves, SEC says.
Robinhood fined $1.25 million by Finra
Regulator says trading app's order-flow procedures failed to guarantee clients received best prices
Key to complying with Reg BI: Make a reasonable effort to act in the client’s best interest
SEC official: 'Can I demonstrate how I got to this recommendation?'
SEC plan would open hedge funds, unicorns to more investors
Regulator proposes allowing people with some professional financial certifications, such as Series 7, 65 and 82 licenses, to qualify as accredited investors
SEC charges head of small REIT and BDC with fraud
Suneet Singal allegedly lied about owning a dozen hotels to close a deal.
Finra board sends the SEC proposal to boost oversight of firms hiring rogues
Panel also ships the SEC amendments to suitability rule to conform with Reg BI
House, Senate bills would ban mandatory arbitration in broker, adviser client contracts
Measures would have to find GOP support for any hope of Senate approval.
ETFs that hide their portfolios get go-ahead from SEC
T. Rowe Price, Fidelity, Natixis and Blue Tractor won permission from the regulator to disclose their holdings only once a quarter.
SEC slaps Jefferies with $1.25 million penalty over ADRs
Agency says firm improperly borrowed securities from other brokers
SEC member Robert Jackson calls out critics of agency ‘rulemaking by enforcement’
Commissioner said bottom line is that many of those criticizing agency are in favor of neither regulation or enforcement.
Reg BI will be shaped by enforcement decisions, Democratic SEC commissioners say
Lee: 'There are opportunities to make it strong, and we have to seize them early'
