Investment advisers are struggling with disclosure rules tied to agency cross trades, and when selling or buying securities from their clients—especially when pooled investments are ...
Deficient trading reviews conducted by an inexperienced and untrained compliance associate has led to SEC charges that a New York-based broker-dealer published quotes and made ...
December 1 marks the date by which mutual fund advisers managing under $1 billion in assets must come into compliance with the SEC’s liquidity risk ...
It appears that Brenda Smith had a broad reach into the pockets of her hedge fund investors. The SEC has charged Smith, her hedge fund ...
Investment advisers will have to conduct annual reviews of their proxy voting programs under new guidance approved by a split SEC Aug. 21. The ...
Financial Sherpa and its sole principal are now carrying the heavy weight of an SEC enforcement action and industry bar tied to a cherry-picking scheme ...
When does a customer account fee become unreasonably excessive? Does FINRA have a role in monitoring such fees, especially among consenting professionals? Such questions ...
Lawsuit proceeds for adviser caught in maelstrom of murder and international intrigue
In a potentially worrisome case for compliance officers, the SEC found that the former CCO of Merrimac Corporate Securities had violated FINRA rules by providing ...
Hundreds of industry professionals signed on to a petition started by two NFA board members – one an Illinois CPO and the other a Colorado ...