Displaying 3266 results
Reg BI looks strong, if you squint just right
Despite SEC commissioner Peirce's comments last week, absent real mitigation, the rule is toothless.
SEC, Finra warn investors not to base stock decisions on social sentiment
Social media posts can have hidden agendas, regulators said
SEC commissioner Hester Peirce says Reg BI is stronger than fiduciary duty
And SEC chairman Jay Clayton tells senators his agency aims to preserve adviser, broker competition while bringing standards closer.
Galvin charges Janney with churning high-fee mutual funds
Massachusetts alleges firm flagged problem with former broker but did nothing to stop him.
Federal appeals court rules against advisers on disclosure failure
Lawyer says the case gives SEC enforcement more ammunition on share-class crackdown.
Clayton hints Reg BI may be out earlier than expected
SEC chair didn't offer details but seemed to suggest that a final rule was imminent.
Alexander Acosta is the Night King from ‘Game of Thrones’
DOL chief is bringing the fiduciary rule back from the dead, using a power eerily similar to that of the Night King
Acosta says Labor Department will revive fiduciary rule
Labor secretary says his agency is collaborating with the Securities and Exchange Commission as the regulator finalizes its own Reg BI.
Asset managers preparing to launch nontransparent ETFs
With SEC approval closer than ever, fund companies focus on the latest ETF twist
SEC charges San Diego-area adviser with $7 million Ponzi scheme
Christopher D. Dougherty charged with defrauding clients with fake private placements.
When disclosing conflicts of interest, wiggle words like ‘may’ may not be good enough
SEC's case pending in D.C. Circuit Court could change how ADVs are written
SEC cracks down on share-class disclosure after self-reporting initiative ends
Firms that didn't participate are now vulnerable to enforcement investigations, lawyers say.
SEC’s sole Democrat is said to be leaving
Robert Jackson Jr. is expected to join NYU Law School.
Fate of New Jersey fiduciary standard could come down to politics, court
With strong support of governor, proposal has momentum out of gate
Thirst for diversification leads more advisers to interval funds
They're trading liquidity for access to asset classes normally out of reach for retail investors.
New Jersey releases rule to impose fiduciary duty on brokers
State Securities Bureau says SEC's Regulation Best Interest 'does not provide sufficient protections.'
Trump administration puts potential new hurdle in path of Regulation Best Interest
Complying with regulatory review guidelines could delay advice rule and have a chilling effect on SEC guidance and no-action letters.
Sales of unregistered securities are a growing problem that’s harming investors — and the industry
The practice is giving the industry a black eye — so what can financial advisers do to stop it?
Woodbridge Group execs charged with criminal fraud in Ponzi scheme
Former CEO Robert H. Shapiro and two others were arrested in connection with investment scheme that SEC claims defrauded 8,400 investors.
SEC cracks down on ETF names that could be misleading
More than a third of thematic exchange-traded funds that started last year tweaked their names during the regulator's approval process.
