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Lessons learned and best practices to bolster your cybersecurity
Learn from your peers who have survived mergers
Firms should err on the side of disclosure when they’re facing cybersecurity threats, one of the SEC’s top enforcement officials said Oct. 23. “The fact ...
SEC Chairman Jay Clayton says there will be no extension on the Commission’s disputed Reg BI standards. “I think people should be ready,” the chairman ...
Latest enforcement action concerning seniors exploitation troubling
stock share trading traders
Market manipulation scheme employed by China-based traders
Proposals aimed at improving secondary market structure
Michael Diamond once worked for Ringling Brothers but couldn’t have envisioned the circus he found himself part of when he applied to work at Worldwide ...
Three CFTC commissioners won’t have to leave Washington, D.C., bound for Chicago to appear in federal court over claims they allegedly violated a federal judge’s ...
Cipher Technologies ($28M in AUM) in Greenwich, Conn., keeps pitching to the SEC its idea to start a closed-end bitcoin fund but once again the ...
A new release from the SEC’s Division of Investment Management lays out the staff’s “views” on revenue sharing disclosure while admitting it’s not altering any ...
senior citizen elderly sad unhappy worried
Broker-dealers would have more discretion in handling the accounts of vulnerable senior investors under an industry proposal submitted to FINRA. The SRO is conducting a ...
Regulators say that small firms are not singled out for enforcement actions, but don’t try telling that to some of your peers. In the last ...
Kevin and Amanda Merrill married in 2015. They have only themselves to blame for their separation. That’s because a federal judge Oct. 11 sentenced Kevin ...
Marian Young didn’t believe she needed an attorney to ensure she complied with Advisers Act rules when launching her internet advisory firm. She read the ...
The outcome of each case will speak to the Commission’s interpretation of how serious such offenses are and what punishment fits these violations
FINRA officials are working their way toward long-promised expungement reforms with a new rulemaking notice that would create a list of specially trained super-arbitrators who ...
We talked last week about how an aging population is going to challenge broker-dealers and especially advisers to protect their aging clients from being conned ...
A dictionary defines “comity” as a “friendly social atmosphere” and the Oct. 16 meeting of the CFTC met that definition although a hint of hostility ...
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