Regulatory
Surprise Court Decision Questions FINRA's Power To Collect Its Fines
FINRA has no power to take anyone to court to make them pay their fines, a New York appellate court has ruled.
FINRA Endorses Congressional SRO Bill As "Exactly" The Right Direction
Draft legislation currently circulating around the House Financial Services Committee is more or less exactly what FINRA is looking for on the topic of RIA oversight.
State Regulators Issue Guidance On The Five Most Common Deficiencies Of Investment Advisors
The association of state securities reagulators, the North American Securities Administrators Association (NASAA), earlier this week issued a release listing the five most common deficiencies regulators find at Registered Invetsment Advisers. They can serve as a guide to advisors to minimize the risk of regulatory violations.
South Dakota Ponzi Scheme That Touched Edward Jones Is Now On The Radar Of FBI Agents, Securities Lawyers
Another bad broker in the Edward Jones barrel raises serious questions about the firm's legendary small office culture for federal agents and securities lawyers alike.
Ex-NBA Guard Charged With Preying On Other Pro Athletes In $2 Million Ponzi Scheme
A spectacular college basketball player turned New Jersey Nets pro is now being accused of selling fake real estate securities to other members of the sports world.
More Articles ...
- FINRA Litigators Got Tougher After The Credit Crash, But The SEC Loses More Cases
- Former SEC Lawyer Tells Congress Madoff Conflict-Of-Interest Charges Against Him Are Overblown
- Mary Schapiro Takes New Findings On Former Top Lawyer's Madoff Conflict Of Interest "Very Seriously"
- CFP Board Derides Arguments That Fiduciary Standard Narrows Investor Choice
