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.
Could FPA’s Waning Power Lead to Its Untimely Demise?
Its membership has shrunk even as the number of CFP certificants has risen. The FPA is at a crossroads.
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 Enforcement: Layne Christensen Fined $5M on Bribery Charge
Meanwhile, the SEC sanctioned Florida-based auditor Eliot Berman for violating federal laws and regs.
Pay-to-Play Compliance Reminders for Advisors at Election Time
Remember Rule 206(4)-5 of the Investment Advisers Act? The SEC does. You should, too, especially if you or your advisory firm associates make political contributions.
SEC, FINRA: 5 Tips to Avoid Penny Stock Scams
SEC, FINRA highlight ways investors can avoid dormant shell company scams.
Schorsch’s ARCP Plunges After Execs Replaced Over Accounting Errors
American Realty’s stock falls more than 30%; the mistakes may have been intentionally not corrected
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.