Treasury Regulatory Report Zeros In on Accredited Investor Definition, SROs
Treasury also recommends allowing single-purpose crowdfunding vehicles advised by an RIA.
Advisor Charged in Multimillion-Dollar Options Trading Scheme: Enforcement
The SEC also obtained a $58 million judgment against the perpetrator of international pump-and-dump scheme involving Marley Coffee.
ICOs Will Stay in SEC’s Enforcement Crosshairs
In short, the SEC will be looking at initial coin offerings for violations of the sort they routinely look for in other contexts.
FINRA Plans BrokerCheck Changes, Remote Exams
The regulator also sets Oct. 1, 2018, as the effective date for its streamlined competency exams.
Jordan Belfort, the ‘Wolf of Wall Street,’ Offers (Ethical) Sales Tips for Advisors
Belfort tells ThinkAdvisor about his Straight Line sales system and how his drug-addled past was actually worse than in the movie.
Koch-Backed AFP Targets At-Risk Democrats for Tax Plan Support
The first targets are Tammy Baldwin, Joe Donnelly and Claire McCaskill.
Brokers Violating DOL Rule by Shifting Clients to Fee Accounts: Roper
Consumer Federation of America urges regulators to investigate if firms are “found to be exploiting the DOL rule to profit unfairly at their customers’ expense.”
Redtail Launches Text Messaging Solution for Advisors
Less than 10% of advisory firms currently use texting to communicate with their clients.
Regulators Issue Joint Investor Bulletin During World Investor Week
Securities regulators on six continents are participating in the investor education and protection event.
Lawmaker Pushes for ‘Care Corps’ to Help Elderly
At Genworth's Long-Term Care Symposium, Rep. Michelle Lujan Grisham attempted to "jumpstart" her bill as the insurer reported some scary numbers for retirees.