Compliance
DOL Beefing Up Enforcement Of Retirement Plans
- Details Category: Regulatory
Retirement planning officials take note: The Obama administration is ramping up enforcement efforts to combat the large number of retirement plans that it says are not compliant with retirement planning rules and regulations.
SEC Proposes Deeper Scrutiny Of Broker-Dealers
- Details Category: Regulatory
The U.S. Securities and Exchange Commission proposed expanding scrutiny of how brokerages handle trillions of dollars in client assets in a measure that reflects the enduring regulatory impact of Bernard Madoff’s Ponzi scheme.
Obama Nominates Securities Lawyer To SEC, But Don't Expect It To Speed Up Decisions On Regulatory Reform Issues Affecting Independent Financial Advisors
- Details Category: Regulatory
President Obama has nominated securities lawyer Daniel Gallagher to the Securities and Exchange Commission, but don’t expect it to have much impact on the regulatory issues facing independent advisors.
Former Morgan Philadelphia Boss Subject Of FINRA Probe
- Details Category: Registered Reps
The mystery of why Morgan Stanley suddenly parted ways with its newly anointed Philadelphia complex chief awhile back now has a few more clues on the table.
SEC Shuts Down "Major League Baseball" Celebrity Prospecting Scheme
- Details Category: Regulatory
One of the many pathetic things about a recent Michigan investment scheme that invoke the names of billionaires like Paul Allen and Ted Turner is that it only brought in $560,000.
