RCW Staff
FINRA is concerned that some of its registered reps may be executing customer orders in ways that benefit the reps rather than the customers. The ...
IA Watch has learned that the SEC has contracted with a Tennessee company to ease the process of examiners verifying client assets at investment advisers. ...
Beginning Aug. 25, FINRA-registered firms will need to have policies and procedures in place to ensure against a "pattern or practice" of self-trades. The SRO ...
To the victor go the spoils. Only weeks after a federal jury acquittedNelson Obus and other defendants in a long-running SEC case claiming insider trading, ...
A divided Commission voted last week to hold institutional money market funds to a floating NAV and to give fund boards the ability to impose ...
The July 28, 2014 issue of IA Watch Weekly Briefing.
July 28, 2014 Your letter dated July 28, 2014 requests our assurance that we would not recommend enforcement action to the Securities and ...
This matter concerns breaches of fiduciary duty and best execution to certain advisory clients of a dually registered investment adviser and broker-dealer.
Banks agree to a $105 million settlement and agree to changes in systems and controls.