Compliance
Massachusetts Investigates Advisor Social Media Practices
- Details Category: Advertising Compliance
Financial advice in Massachusetts is a high-tech business, with about 44% of state-registered advisors already using social media to reach clients and prospects.
Another Radio-Driven Investment Scheme Indicted For Fraud
- Details Category: Advertising Compliance
Federal prosecutors have formally indicted a 73-year-old religious talk radio host for allegedly bilking his listeners out of $194 million.
Mary Schapiro Still Committed To Universal Fiduciary Standard, Warns On SEC Funding Issues
- Details Category: Regulatory
At least as far as the SEC is concerned, the concept of a uniform fiduciary code for RIAs and brokerage firms does not necessarily mean "separate but equal," but the prospect may be moot without more funding.
Sad Case: Houston Advisor Under SEC Investigation Kills Self, Revealing Dark Side Of Sports-Investing Business
- Details Category: Regulatory
A Houston advisor who was very active in local high school basketball programs has apparently killed himself after talking to SEC regulators about a complex Ponzi athletic recruiting scheme.
Dodd-Frank Costing $417 Million This Year, According To New GAO Report
- Details Category: Regulatory
Achieving the Dodd-Frank Act's goals is costing regulators $417 million this year and another $842 million next year, the government's top number crunchers say.
More Articles ...
- Rogue Currency Trader Brought Back To U.S. To Face Charges
- Lawyers Tell Advisory Firms To Be Ready To Investigate SEC Whistleblower Claims On Their Own
- Partisan Bickering Sinks Investigation Into Financial Crisis Panel's Controversial Conclusions
- Dodd-Frank "Too Popular" To Kill Outright, Barney Frank Says
