FINRA Responds to SIFMA's Latest Critiques of Proposed Data System
Industry trade groups raise fresh concerns with latest plan to collect broker-dealer account data through Comprehensive Automated Risk Data System.
Fiduciary Rule Among SEC’s 2015 Priorities
The SEC plans to evaluate staffers' recommendation to consider a uniform fiduciary standard, among other Dodd-Frank related matters.
SEC’s Enforcement Division ‘Here to Stay’ in Muni Bond Market
It’s been a year of many firsts for enforcement and regulation in the municipal bond market, which has previously received little attention, says SEC’s Ceresney.
Are Changes Coming to FINRA Exams?
At SIFMA annual, CEO Richard Ketchum says FINRA is anonymously surveying brokers about its exam program.
SEC’s White to Provide ‘Clarity’ on Her Fiduciary Stance
Where does SEC Chairwoman Mary Jo White stand on a uniform fiduciary rule? No one knows, but that may soon change.
New DOL Fiduciary Rule Will Hurt Retirees, Panelists Say
While consumer advocates favor compelling brokers to act in a client’s best interest, much of the financial lobby is dead-set against them.
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.
SEC’s Gallagher Warns of Bond Bubble
Retail investors would be most vulnerable to a sell-off in the $10 trillion bond market, the commissioner says.
FINRA Releases New Version of Controversial CARDS Plan
FINRA is "committed" to CARDS and plans to move ahead with further changes to BrokerCheck, said Susan Axelrod at the FSI Advisor Summit.
Women Less Likely Than Men to Use Mentoring Programs: Edward Jones
Women are becoming bigger players in the financial industry, but there is still a gender gap when it comes to career advancement.