The 2015 Broker-Dealers of the Year Are Ready to Rumble
The Broker-Dealers of the Year, as chosen by their own reps, will take on the DOL and anyone else who threatens the IBD model.
The One-Man, $1.2 Billion ETF Shop
Andrew Chanin's PureFunds ISE Cyber Security ETF has had one of the fastest ascents in history.
Arthur Levitt: SEC Deadlocked on Fiduciary, Advisors Need DOL Rule
As the Investment Advisers Act turns 75, ex-SEC Chairman Arthur Levitt, CFA’s Barbara Roper and more discuss why the industry needs a strong fiduciary standard.
When Managing Trading Data, Ditch the Spreadsheet
As technology has made trading more advanced, it’s also put more pressure on firms to manage and store all that data.
Sons of Indicted Swiss Financial Adviser Keep Business in the Family
After his indictment, Josef Beck’s directors formed another company to manage money for American citizens, records show.
Photographer: Jason Alden/Bloomberg
A few weeks after his indictment, Josef Beck’s directors formed another company to manage money for American citizens, records show
Massachusetts Distributes $3 Million to 14,000 Swindled Investors
Massachusetts said 14,000 investors have received a total of $2.9 million in settlements related to the illegal TelexFREE pyramid scheme.
SEC, FINRA Enforcement: Former 'Real Housewives' Husband Fined for Naked Short Selling
Brokerage firm ITG Inc. and affiliate AlterNet Securities will pay $20.3 million for running secret dark-pool trading desk.
Guggenheim Unit to Pay SEC $20M Over Compliance Failures
The group failed to disclose an executive’s $50 million loan from a client; staff took “dozens of trips” on clients’ planes.
Live by the Code! The SEC’s Ethics Code, That Is
Unlike the Mafia, the SEC wants supervised persons to always rat on their friends and never keep their mouths shut.
Pimco Gets Wells Notice Over Total Return ETF Valuations
Regulators are looking at positions in mortgage-backed securities, performance disclosures and other matters.