Fines imposed by the Financial Industry Regulatory Authority in 2014 are poised to far outpace those reported by the regulator in 2013, according to an analysis released Aug. 1 by the law firm Sutherland Asbill & Brennan.
Are Privately Owned Broker-Dealers a Dying Breed?
With the recent sales of broker-dealers, have you noticed how many BDs in the top 50 are privately owned?
The SEC Is Broken
The Securities and Exchange Commission has three primary mandates: to protect investors; to maintain fair, orderly and efficient markets; and to facilitate capital formation.
New Hire Roundup: SIFMA Elects New Board Officers
Meanwhile, global law firm Ropes & Gray announced that Debra Lussier has been promoted to a partner in the firm’s private investment funds practice
Fitness, Consumer Sectors Thriving in Middle East, North Africa
Private equity funds are leaping into fitness, education and other consumer-focused sectors in the MENA region.
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.
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.
SEC Responds to Market Volatility by Ramping Up Bond-Fund Exams
Surging market volatility is making regulators increasingly concerned that bond funds have loaded up on hard-to-sell assets.
ETFs: An Industry Prone to Innovation
Innovation and ETFs are often spoken of synonymously. It is a badge worn proudly by those in the ETF industry who use it to differentiate themselves.
IAA’s Barr to Replace Tittsworth as President, CEO
Karen Barr will become the IAA's new president and CEO, replacing David Tittsworth, who has led the association since 1996.