Hatch Ratified as Senate Finance Committee Chairman
Hatch says he will push for a tax overhaul and to advance his SAFE Retirement Act.
FINRA Enforcement: Monex Fined for Letting Unregistered Reps Advise Clients in Mexico
Meanwhile, Merrill was fined $300,000 for supervisory failures.
SEC to Conduct ‘Presence Exams’ on Never-Examined Advisors
SEC’s 2015 exam priorities will include protecting investors, particularly retirees and pre-retirees; market structure issues like cybersecurity; and using data to identify illegal activity.
DOL Urged to Hold Off on Proposed Fee Guide
A group of business organizations turned up the heat this week in its campaign against a proposed DOL fee disclosure guide.
House Dems Defeat GOP Dodd-Frank Rollback Efforts
The House was set to consider an 11-bill legislative package, the Promoting Job Creation and Reducing Small Business Burdens Act.
FINRA’s Top Exam Priorities for 2015
FINRA calls BDs’ failure to put clients first a “recurring challenge” in its 2015 priorities report.
CFP Board Names Camarda Case Lawyer as Its General Counsel
Leo Rydzewski hails from Holland & Knight, the law firm representing the Board in its legal battle against the Camardas.
Morgan Stanley Said to Uncover Theft After Ad Sought Speedcoins for Data
Data on 900 wealth management clients was posted on Pastebin, which led the wirehouse to investigate the case.
Should Series Exams Be Changed? NASAA Polls Advisors, BDs
NASAA is asking securities professionals to weigh in on whether changes are needed to the Series 63, 65 and 66 exams.
Wainscott Capital’s Founder Thomas Gilbert Killed; Son Charged With Murder
Thomas Gilbert Jr. was charged with murder after allegedly having staged the shooting death of his father to look like a suicide, NYPD officials said.