Displaying 3266 results
Investors wait for financial statements from leading seller of alternative investments
GPB, which offers private placements, also cut the distribution rate on one of its funds
House panel approves bills to adjust regulations for small RIAs, protect senior investors
Legislation heads to floor as part of bipartisan package designed to modernize regulation.
SEC censures, fines advisers for Yelp endorsements
Three advisers paid marketing consultant to solicit clients for online testimonials.
Trump gives federal agencies power to hire in-house judges
Administration seeks to head off turmoil resulting from Supreme Court's recent decision on administrative law judges.
House introduces bill targeting elder financial abuse
Legislation would establish a task force to examine challenges facing senior investors and recommend regulatory, statutory changes.
Supreme Court nominee Brett Kavanaugh voted to strike down ‘Merrill Rule’
Kavanaugh voted against "Merrill Rule" in 2007 D.C. Circuit Court of Appeals case.
Bill could ease regulatory burden on small investment advisory firms
Legislation would require SEC to look beyond AUM in determining size, such as to a firm's number of employees, when scaling mandates.
SEC bars ex-LPL rep over variable annuity sales
Massachusetts ordered Roger Zullo to disgorge $1.9 million in commissions.
Even after SEC’s additional guidance, custody remains complicated rule for investment advisers
Compliance experts want agency to revisit regulation whose FAQs now run to 17 pages
Texas REITs to pay $8.2 million for misleading investors
SEC alleges money from newer UDF fund was being used to pay distributions to investors in older fund.
Credit Suisse to pay $77M to settle bribery probes
Lender's Hong Kong unit attempted to win banking business by offering jobs to sons and daughters of Chinese officials.
Better Markets blasts Finra’s proposal to strengthen supervision of high-risk brokers as too weak
Financial reform group calls on regulator to make more fundamental changes.
SEC charges Virginia firm with $5 million Ponzi scheme
Edward Lee Moody and CM Capital Management are charged with defrauding 60 investors.
SEC censures, bars and penalizes RIA for misappropriation of more than $121,000
The Securities and Exchange Commission alleges that Bruce Hauptman misappropriated the money from a fund he managed.
Charles Schwab says it settled SEC suit on reporting failures
Suit says Schwab's adviser services division failed to file suspicious activity reports in 2012-13.
Alexander Capital, censured by SEC, will pay $411,000 for failure to supervise
Regulator says firm ignored churning by three reps who have been charged with fraud
Piwowar: Comments will be critical in shaping SEC advice rule
Departing commissioner doesn't foresee final vote on proposal until 2019.
When it comes to the proposed SEC advice rule, words matter
The rule would create a second, non-fiduciary version of the term 'best interest.'
Morgan Stanley to pay $3.6 million penalty for failure to supervise adviser
SEC says firm did not have policies and procedures in place to prevent misuse of funds
Organizations launch campaign to get investment advisers to comment on SEC advice rule
Promotional flyer depicts the 'intimate relationship' advisers have with clients
