Results for "regulation"

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SEC, NASAA and Finra issue Senior Safe Act fact sheet

May 24, 2019

The Securities and Exchange Commission, the North American Securities Administrators Association and the Financial Industry Regulatory Authority Inc. have issued a fact sheet to help raise awareness of the Senior Safe Act. The act, signed into...

SEC sets June 5 date for vote on Regulation Best Interest

May 23, 2019

The Securities and Exchange Commission will vote on an investment-advice reform package on June 5. The agency posted the agenda for the open meeting on its website Thursday afternoon. The four SEC members will decide whether to adopt Regulation...

Auditor: Future of broker-dealer with history of problems is in doubt

May 23, 2019

Newbridge Securities Corp., a small to midsize broker-dealer with a history of compliance problems, recently released a grim assessment of its financial health. In its annual audited financial statement, which was filed in March but did not...

DOL sets date to propose new fiduciary rule

May 23, 2019

The Department of Labor will propose a new fiduciary rule in December, the opening salvo in what will likely prove to be another contentious battle to overhaul investment advice standards in retirement accounts. Labor Secretary Alexander Acosta...

Attempt to ban SALT weakened by strong data

May 23, 2019

It was always a long shot, but a quixotic lawsuit by four northeastern states to squelch the Trump tax law's cap on state and local tax deductions is being undermined by a repetitive drip of strong economic data. New York, Connecticut, Maryland...

House passes SECURE retirement bill with massive bipartisan support

May 23, 2019

The House of Representatives passed a sweeping retirement bill Thursday that makes it easier for small businesses to offer a workplace retirement plan, eases use of annuities in 401(k)s and raises the required minimum distribution age, among...

Hopes high for bill to ease small-firm adviser regulations

May 21, 2019

Supporters of legislation that could ease regulations on small investment advisers hope that getting an earlier start in the new Congress will help get the measure over the finish line. Earlier this month, Rep. Michael San Nicolas, D-Guam, vice...

State regulators release model cybersecurity rule

May 21, 2019

State securities regulators released a model cybersecurity rule package Tuesday, offering a regulatory framework that states can adopt to bolster protection of client data. Under the model proposed by the North American Securities Administrators...

Couple in Morgan Stanley advisory account wins $519,000 arb case over unsuitable investments

May 20, 2019

Finra arbitrators awarded $519,089 to a couple who claimed a Morgan Stanley broker recommended inappropriate complex investments. The three-person, all-public Financial Industry Regulatory Authority Inc. panel found in favor of Stephen R. Balok...

Discussing volatility with clients — with a twist

May 20, 2019

Having filled out several risk profiles over the years, I've found they share one characteristic in common: They really don't measure how I feel about losing money on my investments. I understand why advisers must quantify an investor's appetite...

Finra makes its list to target hundreds of rogue individuals

May 17, 2019

As the Financial Industry Regulatory Authority Inc. undertakes closer supervision of rogue firms, it has identified hundreds of individual registered reps and financial advisers who pose the biggest risk for clients of the securities industry....

Brokerages sound off on Regulation Best Interest

May 17, 2019

An executive at a small brokerage firm expressed concern Friday that the Securities and Exchange Commission's pending advice-reform rule is too vague and could lead to an exclusive focus on the price of investments. The centerpiece of the package...

Finra rogue broker rule would affect 61 firms

May 15, 2019

As part of its crackdown on rogue brokers, the Financial Industry Regulatory Authority Inc. has identified 61 firms that would face restrictions under a newly proposed Finra rule. Finra currently has a little more than 3,700 broker-dealers under...

Finra proposal to restrict recidivist behavior a good start — but more needs to be done

May 14, 2019

Recently, the Financial Industry Regulatory Authority Inc. published a proposal to impose restrictions on firms with a significant history of misconduct. Finra wants to label firms with high numbers of disclosures and with a history of employing...

Finra wants to improve how it digitally interacts with member firms

May 14, 2019

The Financial Industry Regulatory Authority Inc. is taking on a multiyear project to improve how member firms digitally interact with the regulator. Based on feedback from more than 50 firms about how the industry engages with Finra for compliance...

New bill links 401(k) matches to student loan payments

May 14, 2019

A bill that includes a provision to make it easier for companies to contribute to the retirement accounts of employees who are paying down student debt was reintroduced in the Senate this week. Among other changes, such as stepping up the age...

Reg BI looks strong, if you squint just right

May 13, 2019

The Wall Street Journal's Jason Zweig recently complained about a study from Fidelity Investments that was interpreted to show that "Most index funds are 'below-average investments'" and that except for large U.S. stocks, in nearly every other...

How much is enough compliance? SEC grumbles about firms' efforts to cover risks

May 13, 2019

The Securities and Exchange Commission is warning investment advisory firms to devote adequate resources to compliance, which has spurred a debate about whether attitude or money is more important. In a recent speech, Pete Driscoll, director...

May 13, 2019

BY Mark Schoeff Jr. The Securities and Exchange Commission is warning investment advisory firms to devote adequate resources to compliance, which has spurred a debate about whether attitude or money is more important. In a recent speech, Pete...

Finra plan to address unpaid arbitration award problem deserves fair hearing

May 11, 2019

The Finanical Industry Regulatory Authority Inc. finally may have come up with a fair way to ensure that investors who win arbitration awards actually receive them. Under a new rule proposal, Finra would require firms with a track record of...

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