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SEC member Peirce to brokers: Talk to us early, often about Reg BI implementation problems
She's willing to advocate for additional compliance time if firms have made a good faith effort.
Applauding the SEC’s new approach to disclosure
Form CRS uses a simplified approach to help clients more fully understand the terms of their relationships with advisers
SEC’s Blass rebuts assertion Reg BI is tougher than fiduciary standard
Agency director says investment advisers must mitigate or eliminate conflicts.
SEC head defends Reg BI, but only succeeds in igniting more criticism
A top critic charges the SEC head with 'gamesmanship' and creating a 'false narrative.'
SEC chairman Jay Clayton defends advice rule
He strikes back at critics including Elizabeth Warren, who called the new rule a gift to Wall Street.
Finra rogue broker proposal raises concerns among investor, industry advocates
PIABA: It falls short of solving unpaid arbitration. FSI: It gives Finra too much power.
SEC bars ex-Transamerica broker who took $583,000 from clients
The broker, Pedro L. Gonzalez-Seijo, was charged last summer with fraud.
Crypto broker logjam may be swept away by regulatory guidance
SEC and Finra provide information on how securities rules apply to some of the complicated compliance issues posed by digital tokens.
Former LPL broker with ties to ex-con charged with fraud
SEC charges Kerry Hoffman with fraud involving unregistered securities.
New York lawmaker works on bill to establish fiduciary duty for advisers in state
Assemblyman Jeffrey Dinowitz says measure will be 'stronger' than previous disclosure bill.
SEC bars unregistered adviser attempting to serve professional athletes
Daryl Davis allegedly made several false claims about the size of his firm, Parrish Group, and celebrity clients.
Financial industry group asks CFP Board to back off if reps comply with Reg BI
CFP Board CEO Keller touts standard but indicates possible delay in its enforcement.
SEC commissioner Jackson seeks data on potential harm of easing rules for private placements
Proponents, however, say products provide portfolio balance for retirement savers.
SEC bars head of terminated RIA, orders $1.3 million in payments
Kristofor Behn and his firm, Fieldstone Financial Management, charged with fraud.
SEC files charges in alleged $19.3 million fraud offering huge returns
Regulator claims defendant lured five individuals with promise of up to 362% gain.
SEC charges financier for stealing $43 million in client funds
Jason Sugarman is alleged to have directed a fraudulent scheme involving Native American tribal bonds.
Adviser regulation caught up in partisan era, making it hard to plan for future
A change in the White House in 2020 could result in a reversal of new SEC advice reform rules, just as the last presidential transition left the DOL fiduciary rule dead.
House passes Maxine Waters’ amendment to stymie SEC advice reform rules
Measure prevents funding for Reg BI, but could die in Senate.
SEC charges founder of bankrupt New Jersey RIA with fraud
Agency says Donald LaGuardia Jr. misappropriated $2.6 million from investors.
Funding for Reg BI, other SEC advice reform efforts denied in Waters amendment
House likely to approve measure that effectively kills rule package, but it faces uphill battle in Senate
