FINRA Move on Brokers' Expungement a Good First Step
Over the past five years, state securities regulators have used the CRD and IARD public records to weed out more than 20,000 bad actors.
Massachusetts, Illinois Surveying Advisors on Cybersecurity
Advisors' responses could prompt changes in state regulations, Massachusetts securities regulator William Galvin says.
NASAA Launches Multi-State Review Program for Small-Business Offerings
Under the program, Regulation A filings can be made in one place and distributed electronically to all states, NASAA says.
Barbara Roper, Investor Watchdog: The 2014 IA 25 Profile
Business as usual on Wall Street is bad news for investors, according to the director of investor protection for the Consumer Federation of America.
5 Digital Currency Risks Investors Should Know: NASAA
Volatility and lack of regulation pose several hazards for investors in virtual currencies like bitcoin, state regulators warn.
FINRA Reverses Schwab Class Action Waiver Decision
Schwab violated FINRA rules by including class action waivers in customer account agreements, FINRA said.
BD Fee Disclosures Have ‘Wide Disparity’: NASAA
BDs are also using “questionable practices” in relation to fee charges and markups, according to a survey released Thursday by state regulators.
SEC’s New Investor Advocate Says He Has Broad Authority
A "big part" of the job will involve policy, said advocate Rick Fleming. Meanwhile, an investor advisory subcommittee proposed SEC crowdfunding guidelines.
Why the SEC Must Revise Its Proposed Reg A Rule
The SEC wants to transform Regulation A offerings into covered securities, which by law are not subject to state review. That's not what Congress intended.
State Regulators OK Plan to Streamline Filings for Small Offerings
The proposal to have Regulation A filings made in one place would ease compliance costs for small firms trying to raise capital under the JOBS Act, NASAA says.