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SEC Publishes Informative Investor Bulletins Discussing Characteristics of Bonds
Posted on Tuesday, July 2, 2013 at 1:12 PM

The Securities and Exchange Commission (SEC) has published several Investor Bulletins regarding bonds.  They cover corporate bonds, high-yield corporate bonds, municipal bonds and the relationship between bond prices and interest rates.

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An Analysis of the Potential Impact of a Uniform Fiduciary Standard Upon Broker-Dealers, Registered Investment Advisers, and Dually-Registered Advisers
Posted on Friday, June 21, 2013 at 1:10 PM

Widely considered to be the most sweeping financial regulatory reform of the modern era, the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) was signed into law nearly three years ago.

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Broker Protocol Again Revisited; Still An “Industry Standard” for Employment Transitions?
Posted on Friday, May 10, 2013 at 1:09 PM

In early 2009 and again in late 2010, I examined the Protocol for Broker Recruiting (the “Protocol”), and court opinions that applied it to situations in which financial advisers had transitioned their employment from one financial services firm to another

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FINRA Reminds Firms of Their Duties Relating to Real Estate Investment Programs
Posted on Friday, May 3, 2013 at 1:08 PM

Recently, FINRA issued Regulatory Notice 13-18 to remind financial services firms of their duties relating to unlisted real estate investment trusts (REITs) and unlisted direct participation programs (DPPs) that invest in real estate.

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Securities Industry Continuing Education Program Reveals Investor Protection Priorities
Posted on Monday, April 22, 2013 at 1:07 PM

Recently, the Securities Industry/Regulatory Council on Continuing Education published its semi-annual “Firm Element Advisory.”

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Financial Crisis-Related Enforcement Actions By SEC Signal Real Investor Protection Interest
Posted on Friday, March 22, 2013 at 1:07 PM

The Securities and Exchange Commission (SEC) is engaging in a higher than normal public relations campaign, and the message is loud and clear: the SEC is and has engaged in active enforcement activity to signal that it has a real interest in investor protection.

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White Paper on the Role of Compliance Underscores Its Critical Investor Protection Function
Posted on Wednesday, March 13, 2013 at 1:06 PM

SIFMA (the Securities Industry and Financial Markets Association) has released its White Paper on the Role of Compliance.

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An Analysis of the Potential Impact of a Uniform Fiduciary Standard Upon Broker-Dealers, Registered Investment Advisers, and Dually-Registered Advisers
Posted on Wednesday, March 13, 2013 at 1:03 PM

Widely considered to be the most sweeping fi nancial regulatory reform
of the modern era, the Dodd-Frank Wall Street Reform and Consumer
Protection Act (“Dodd-Frank”) was signed into law nearly three years
ago. 

Read More »
SEC Examination Priorities Announced for 2013; A Lot on the Plate!
Posted on Tuesday, February 26, 2013 at 1:01 PM

Annually, the Securities and Exchange Commission (SEC) determines and communicates to investors and SEC registrants the examination priorities that best will protect investors, maintain fair, orderly and efficient markets, and facilitate capital formation. 

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Regulator’s Action Against LPL Financial Underscores Risks of Investing in Non-Traded REITs
Posted on Friday, December 28, 2012 at 1:00 PM

The Massachusetts Securities Division has filed a regulatory action against LPL Financial, LLC (“LPL”), seeking full restitution and other relief for investors residing in Massachusetts who were sold non-traded real estate investment trusts (REITs) in violation of Massachusetts law.

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