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Broker-Dealers (566)
Your search for Broker-Dealers returned 566 results.
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3/08/2019 | Content area: Investment Adviser
Promises of a high level of service at a low cost are always enticing but sometimes those promises prove empty. Such was the case for many clients of ...
2/07/2019 | Content area: Investment Adviser
Open up Aegis Capital’s ($507M in AUM) latest Form ADV brochure and you’ll read this very intriguing nugget under material changes: The Firm has been ...
12/06/2018 | Content area: Investment Adviser
Despite the comment period for the SEC’s trio of fiduciary duty-related proposals closing this past summer, the industry continues to weigh in on prop...
11/21/2018 | Content area: Investment Adviser
The SEC has yet again offered up its current thinking on digital securities. On the same day that the Commission settled charges against two more comp...
9/20/2018 | Content area: Investment Adviser
The SEC needs to go back to the drawing board and revise and retest the content, language, and format of its proposed Customer Relationship Summary fo...
9/06/2018 | Content area: Investment Adviser
An industry bar imposed by the SEC on Walter Grenda back in 2015 apparently did little to deter the long time investment adviser. In a complaint filed...
8/30/2018 | Content area: Investment Adviser | Broker-Dealer
After a six-city tour of investor roundtables concerning the SEC’s standards of conduct for investment professionals rulemaking it’s clear to Commissi...
8/02/2018 | Content area: Investment Adviser
The August 7 deadline for comments on the trio of SEC fiduciary duty-related proposals (IA Watch, April 18, 2018) is fast closing in and SEC Commissio...
5/24/2018 | Content area: Investment Adviser
The Commission is proposing new rule 139b under the Securities Act of 1933. If adopted, the proposal would establish a safe harbor for an unaffiliated...
2/15/2018 | Content area: Investment Adviser | Broker-Dealer
Deutsche Bank Securities will be reimbursing certain of its commercial mortgage-backed securities customers who overpaid for CMBS after being misled a...
11/30/2017 | Content area: Investment Adviser
SEC enforcement has undergone “considerable transformation” since the change of the administration, according to a new report released by a Georgetown...
11/16/2017 | Content area: Investment Adviser
A rulemaking barometer that compliance professionals have paid a great deal of attention to in the past will get streamlined going forward. The SEC’s ...
10/27/2017 | Content area: Investment Adviser | Broker-Dealer
The Securities and Exchange Commission (“SEC” or “Commission”) is adopting an amendment to Rule 146 under Section 18 of the Securities Act of 1933, as...
9/26/2017 | Content area: Investment Adviser
VisionPoint did not disclose the loans or the conflict of interest arising from this compensation in Commission filings or otherwise to clients. By fa...
9/26/2017 | Content area: Investment Adviser
This matter involves the failure of 360 Financial – a registered investment adviser – to disclose to clients that it received a forgivable loan of $44...
9/26/2017 | Content area: Investment Adviser
This matter involves the failure of TRH – a registered investment adviser – to disclose to clients that it received a forgivable loan of almost $350,0...
8/31/2017 | Content area: Investment Adviser
The myth has been busted—yet again. Dawn Bennett, the former radio host of Financial Myth Busting with Dawn Bennett, who for years operated a financia...
8/24/2017 | Content area: Investment Adviser
It’s taken years for the SEC’s ban on third-party solicitation under its pay-to-play rule to take effect – largely because the Commission waited until...
8/24/2017 | Content area: Investment Adviser
Investment advisers and broker-dealers aren’t doing enough when it comes to protecting seniors from financial fraud, a new NASAA survey reveals. Three...
8/24/2017 | Content area: Investment Adviser
Many asset managers, broker-dealers and alternative managers appear to have a lack of confidence when it comes to their firms’ cybersecurity protectio...


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