Schorsch’s RCS Seeks Distance From ARCP as Empire Fractures
Nicholas Schorsch's real estate group depends on RCS' money-raising ability, one observer says.
SEC, FINRA: 5 Tips to Avoid Penny Stock Scams
SEC, FINRA highlight ways investors can avoid dormant shell company scams.
FINRA’s Senior VP of Enforcement Moves to Shulman Rogers
Emily Gordy, FINRA’s senior VP of enforcement, has joined Shulman Rogers as chairwoman of the firm’s Financial Industry Regulatory Group.
SEC Split on Including Brokerages in Trading Safeguards
Rules meant to prevent automated trading system breakdowns should be expanded to include brokerages that match orders away from regulated exchanges, two SEC members say.
WBI Investments Launches 10 ETFs, Attracts $1 Billion-Plus in Assets
WBI’s Don Schreiber says actively managed ETFs are the “next frontier” for ETF growth.
FINRA Warns of Stock Scams Tied to Ebola, Other Viral Diseases
“News coverage of viral outbreaks, including Ebola and MERS, will likely catch the interest of stock scammers looking to capitalize on fears,” FINRA says.
A New Hope
In the individual video interviews I conducted with the leaders of the 2014 Broker-Dealers of the Year, I asked what advice they’d give to a college student considering a career in the financial advice field.
Anyone Can Invest Like Buffett, Icahn With New ETF
Want a tip from Warren Buffett? New app provides instant notification of his SEC filings, and the accompanying ETF blends the 10 best performing billionaires.
New Hire Roundup: CFTC Names Goelman Enforcement Chief
Grace Vogel joined PwC’s financial services regulatory practice, and the Hedge Fund Association named three women to leadership positions.
High-Speed Trading Rules Coming From SEC, White Says
The SEC chief unveiled the regulator’s most sweeping plan yet for reining in high-frequency trading and monitoring secretive trading practices.