Fight Back Against ‘Aggressive’ Exams
You have gotten the call, and the SEC is coming. What now? Are you ready? How do you prepare?
At TD Ameritrade Gathering, Technology, Trusts, Diversity—and Blue Jeans
TD Ameritrade Institutional's annual advisor gathering featured well-received addresses by people like Leon Panetta and Magic Johnson and a last-night party headlined by the Steve Miller Band.
Top Portfolio Products: Vanguard to Launch Alt Fund
The fund giant plans to add the new fund into its popular managed-payout product.
Enforcement: Broker Convicted of Bilking Elderly Relatives in Fake Hedge Fund
Meanwhile, Goodyear agreed to pay $16 million to the SEC to settle bribery charges.
Gifts and Entertainment: SEC Reminds Advisors of the Rules
An SEC Guidance Update is a good reminder of the G&E limitations on funds and their advisors; RIAs and BDs should take heed as well.
Obama Tells DOL to Move Forward With Its Fiduciary Redraft
President Obama to speak at AARP about DOL’s fiduciary redraft; White House to also release its report on redraft.
SEC’s Gallagher: 4 Things White House Fiduciary Memo Got Wrong
The White House memo supporting the DOL measure is "thinly veiled propaganda designed to generate support for a widely unpopular rulemaking," the SEC commissioner said.
Online Broker Folio Acquires BUYandHOLD Business
The group is led by ex-SEC Commissioner Steve Wallman.
FINRA’s 5 Biggest Fine Categories in 2014
FINRA fines more than doubled in 2014 even as the regulator filed fewer cases, according to the law firm Sutherland Asbill & Brennan.
Schwab Settles 2009 Auction-Rate Securities Suit
New York claimed Schwab engaged in “fraudulent and deceptive conduct” in promoting the investments.