SEC, FINRA Enforcement Roundup: $268M Insider Trading Scheme Busted
Charges of insider trading in a secondary stock offering, accounting violations and efforts by a phony company president to push a fake penny-stock investment were among enforcement actions taken by the SEC.
RBC Advisor, Custodian Groups Hire Team to Serve RIAs, Indie Broker-Dealers
RBC Correspondent and Advisor Services announced Wednesday that they are adding a new team of four senior relationship managers with over 75 years of combined experience to support and drive business growth for RBC's RIA firms and independent broker-dealers.
SIFMA Panel Discusses Fiduciary Duty for Brokers
Emotions were running high at the final breakout session of the day at the SIFMA Regulatory Reform Summit in New York.