Dodd-Frank Rulemaking Like ‘Shoveling Manure’: SEC’s Gallagher
The SEC won “the Dodd-Frank ‘booby prize,’ and we are still paying the price over four years later,” said SEC Commissioner Daniel Gallagher.
FINRA Names Berry Head of Arbitration
FINRA announced Thursday that Richard W. Berry will replace Linda Fienberg as head of the self-regulator’s dispute resolution.
SEC, FINRA: 5 Tips to Avoid Penny Stock Scams
SEC, FINRA highlight ways investors can avoid dormant shell company scams.
QE Is Dead; What’s Next for Fed?
Some analysts expect longer-term fallout from QE’s end as the Fed juggles multiple challenges.
SEC Charges Sands Brothers With Custody Rule Violations
SEC charged Sands Brothers and three of its top officials, including its CCO, with failing to provide timely statements on the firm’s private funds.
Washington Watchers See Big Retirement Push in 2015
Retirement planning officials should prepare next year for the release of DOL’s fiduciary plan, the official launch of Obama’s MyRA and more.
ERISA at 40: ‘Terrible’ or ‘A Job Well Done’?
While terms used to describe ERISA include “horrible” and “terrible,” a panel of experts agreed Tuesday that the law has had a positive impact.
House Dems Call for SEC Crackdown on Corporate Anti-Whistleblower Practices
Lawmakers say “overly restrictive nondisclosure agreements,” for example, threaten the SEC's whistleblower program.
Merrill to Pay FINRA $6 Million Over Reg SHO Violations
FINRA said Monday that it had fined Merrill's clearing and BD arms for not ensuring that fail-to-deliver positions in short sales were properly closed out.
ASPPA Names Keck President
Kyla Keck, a principal of SageView Retirement Plan Consultants and SageView Advisory Group in Knoxville, Tennessee, named ASPPA's new president at annual conference.