SEC Enforcement: AlphaBridge Capital, Deloitte & Touche Charged
SEC charged a hedge fund with a fraudulent fund valuation scheme; Deloitte & Touche hit with violating auditor independence rules.
Goldman Sachs Pays Fine for Roiling Options Market in 2013
Goldman agreed to pay a $7 million fine to settle regulatory claims that it sent thousands of mistaken orders.
What Transparency Should Look Like
A way forward for the financial advice industry.
How Advisors Should Explore the Social Media Universe
The digital parallel world opens a new frontier of financial marketing and communication
Top Portfolio Products: Vanguard Tweaks Money Market Funds
Plus, Advent updates its Black Diamond wealth platform, and Lincoln enhances an annuity suite.
House Bill Nixes DOL Fiduciary Rule’s Funding; Perez to Testify
A House Appropriations Committee bill released Tuesday prohibits any of DOL’s funds from being used to finalize, advance or enforce its fiduciary rulemaking.
SEC’s Stein Expects Fiduciary Rule, Sees ‘Cracks’ in Registered Funds
SEC Commissioner Stein voiced concern with “cracks” starting to appear in the Investment Company Act's foundation, particularly regarding bank loans, ETFs and alternative mutual funds.
Could 20 Digits Prevent Another Financial Crisis?
SEC Commissioner Kara Stein, a self-described "geek," says a 20-digit code could help stop the financial world from imploding again.
New Hire Roundup: SEC Names Regional Director in Salt Lake City
Meanwhile, tennis champion Andy Murray joined the advisory board of Seedrs, a U.K.-based crowdfunding platform.
Stifel Agrees to Buy Barclays’ U.S. Wealth Management Unit
The deal should add some 180 advisors to the company, which recently bought Sterne Agee.