Hugh Kennedy
NASAA’s model fee disclosure schedule is gaining wider acceptance among brokerage firms. The association announced May 9 that nine additional securities firms have agreed to ...
Former Sullivan & Cromwell Partner Jay Clayton was sworn in May 4 as chairman of the SEC, two days after the Senate confirmed him for the role. ...
The SEC and FINRA will once again combine forces to bring a national compliance outreach program to broker-dealers. Registration, which is limited to the first ...
The return on investment for social media appears to be on the rise—at least for financial professionals. American Century Investments’ seventh annual Financial Professionals Social ...
FINRA has simultaneously released three regulatory notices related to broker-dealers’ participation in the capital formation process. The SRO is seeking comment by May 30 on ...
As many predicted, another state has jumped in with proposed new cybersecurity requirements for investment advisers and broker-dealers. Late last month, Colorado followed New York’s ...
For some industry heavy hitters, the 60-day delay of the DOL’s fiduciary duty rule implementation is simply not enough (IA Watch, April 5, 2017). The ...
What does FINRA say about accepting sponsor payments for firm conferences? Are payments subject to dollar limits? Is there a disclosure requirement? Is there a ...
Many investment advisers have a critical need to catch up rather than get ahead when it comes to cybersecurity, a recent industry study reveals. The ...
Lek Securities Corp. sells itself as the “Gateway to the Markets.” The SEC claims the New York-based broker-dealer provided access to the U.S. markets to ...