The Wall Street ‘Election’ Campaign Is On. How Will You Respond?
Brokerage lobbyists have framed the debate, and fiduciary advisors are way behind in the polls.
SEC, FINRA Come Knocking at RCS After ARCP Accounting Errors
Nicholas Schorsch's RCS says it talks to the regulators as a part of its regular operations and will continue to do so.
FINRA, MSRB Plan to Require More Fixed-Income Pricing Disclosure
The new rules would help retail investors evaluate transaction costs, the MSRB said.
FINRA Proposes Pay-to-Play Rules
FINRA is requesting comments on its plan to establish pay-to-play type rules for BDs that closely mirror SEC ones.
Lawmakers Air Concerns About DOL Fiduciary Redraft
Lawmakers air concerns about the upcoming DOL fiduciary redraft release, lay out plans to ensure next Congress keeps the current retirement planning tax incentives intact
DOL to Hold January Hearing on Credit Suisse’s Retirement Plan Manager Status
DOL to hold public hearing to discuss QPAM status after Credit Suisse pleaded guilty to tax fraud.
Top 9 Investor Threats for 2015: NASAA
State regulators are seeing classic threats to investors “morph into new or altered dangers, many fueled by the Internet,” says NASAA’s president.
SEC, FINRA Enforcement: Ticket-Brokering Pump-and-Dump Scheme Halted
Meanwhile, Merrill Lynch, Pierce, Fenner & Smith was censured and fined by FINRA on two separate issues.
RCS Capital Says Some Brokers Lifting Product Suspensions
The news comes as the company considers spinning off Cetera Financial.
American Realty Capital Sues RCS Over $700M Deal
The dispute sets up a battle between two companies that have the same chairman, Nicholas Schorsch.