Displaying 3266 results
SEC seeks jury trial in case against operator of phony GIC scheme
Agency wants Lester Burroughs, a rep at Lincoln Investment Planning, to disgorge gains.
SIFMA: State fiduciary rules would lead to elimination of brokerage accounts
CEO Bentsen says states should defer to SEC's Regulation Best Interest.
Riskiest ETFs get a green light
But the SEC's proposal would require brokers to assess whether investors understand the risks — which might discourage firms from offering the products.
Galvin posts revised fiduciary duty proposal
Advisers must act without regard to compensation, but 'best available option' language excised.
Why complying with Reg BI can’t wait for the last minute
Webcast panelists recommend starting what could be an expensive and time-consuming process sooner than later.
Proposal to amend SEC testimonial rule to greatly expand advisers’ advertising efforts
Advisers will need to be well-versed on the details before starting an aggressive marketing campaign.
Massachusetts advances fiduciary duty proposal; public hearing required prior to final rule
Bay State, New Jersey regulations could set standard for other states
SEC bars former Securities America rep over $1 billion Ponzi scheme
Ronald J. Roach concocted financial statements to show revenue at solar energy company.
Commending Finra on its efforts to improve its exam program
Regulator's actions can serve as a model for the SEC and others on incorporating industry feedback to improve regulatory programs
SEC issues FAQs on investment advice rule
The agency published answers to four questions about Form CRS.
SEC charges Texas ‘broker’ with illegally selling Woodbridge securities
Unregistered Brett Pittsenbargar sold $18 million of fraudulent paper to at least 45 investors.
SEC proposes tougher sales rule for exchange-traded products
The agency, concerned about consumer protection, says clients need a baseline understanding of product risk
Compliance teams not keeping pace with new collaboration tools
Firms are using apps like Microsoft Teams and Slack to chat, share documents and schedule meetings without having policies or archiving tools in place.
Finra plan letting investors move arb claims to court heads to SEC for approval
Critics say the proposal falls well short of what is needed to address unpaid arbitration awards.
SEC charges Arizona man with defrauding elderly investors
Agency said Conrad Coggeshall raised $700,000 from four investors that he claimed was going to be invested in an M&A firm.
Compliance officer who raised red flag about GPB Capital says she is now a target
Toni Caiazzo Neff says she has been followed, had car tampered with.
Court orders $12 million disgorgement in stock manipulation case
Samuel DelPresto and his MLF Group ran 'pump-and-dump' microcap scheme
REIT firm pays $8 million SEC fine over misleading accounting
Vereit Inc. agreement follows $1 billion litigation settlement in September
SEC moving toward opening private markets to more ordinary investors
Rulemaking agenda includes items on accredited investor definition, exempt offerings
SEC files action to stop $6 million Ponzi scheme in Florida
Agency obtains temporary restraining order against Neil Burkholz and Frank Bianco.
