SEC Busts Businessman, Firms in Initial Coin Offering Scam
REcoin Group Foundation and DRC World (also known as Diamond Reserve Club) claimed their coins were backed by real estate and diamonds.
Individuals’ Personal Info Revealed in SEC EDGAR Hack
A test filing accessed by third parties contained names, birthdates and Social Security numbers of two individuals.
FPA Board Chooses Former Intelligence Officer as President-Elect
President-elect Evelyn Zohlen is also founder and president of Inspired Financial in Huntington Beach, California.
Clean Shares Are a Work in Progress: Morningstar
DOL “needs to understand this is a new idea, and we are still coming to a consensus on what clean shares mean," said Morningstar's Szapiro.
FINRA Zeros In on Bad Brokers, Arb Transparency and New Enforcement
It's been a little over a year since Robert Cook took the helm as CEO of the Financial Industry Regulatory Authority and launched a top-to-bottom review of the self-regulator via the FINRA360 initiative.
The Long-Awaited Fiduciary Rule Delay
Hurry up and get ready, slow down, stop — I am truly hopeful that this will be my last DOL rule column for quite some time.
Is the Time Ripe for the SEC to Regulate Broker/Advisor Titles?
As the Securities and Exchange Commission mulls a fiduciary standard rule of its own, should the agency also tackle regulating advisor and broker titles?
SEC: Barred Broker Bilked Retirees to Fund E-Cigarette Business
The broker, formerly of the firm depicted in "The Wolf of Wall Street," also used client funds for trips to the tanning salon, SEC says.
Broad Strokes of Tax Reform Released in GOP Framework
The GOP tax framework aims to simplify the tax code for both individuals and small businesses while reducing the tax burden at both levels.
Trump Picks Kate O’Scannlain as DOL’s Top Lawyer
Kate O’Scannlain, a Kirkland & Ellis partner and Federalist Society member, has represented insurers and defended companies against class actions.