Total: 50 results found.
Page 1 of 3
Consumer Financial Protection Board Weighs In On Senior Advisor Designations; Says SEC, States, And Other Lawmakers Must Act
(Matching tags: CFPB,Advisor businesses,regulation,client education,fraud)
Consumer Financial Protection Board (CFPB), an agency created by Dodd-Frank Act as an uber-regulator of financial services in the U.S., issued a report and recommendations today addressing the problem ...
Thursday, April 25, 2013
Former SEC Chair Schapiro Reportedly Joining Consulting Firm; Another Former Regulator Cashes In On Contacts In A Subtle, Legal Form Of Corruption
(Matching tags: regulation,sec)
... firm to help thwart
of the people she used to prosecute. While you might have thought that the near-collapse of the financial system four years ago, which was largely due to regulatory failure ...
Tuesday, April 02, 2013
CFP Board Hires New Lobbyist Who Formerly Served As Senior Counsel To House Financial Services Committee
(Matching tags: regulation,SRO,registered investment advisors,CFP Board)
... D.C. attorney Todd L. Cranford for the newly created position, representing a clear effort by CFP Board to influence the political process surrounding
of investment advisors. ...
Monday, March 18, 2013
Responding To Financial Crisis, Britain Overhauls Its Regulators
(Matching tags: regulation)
While here in the United States legislators are still grappling with overhauling the financial regulatory system that caused the world's financial financial crisis in 2008, British lawmakers have completed ...
Tuesday, March 12, 2013
Compensation For Experienced And Talented Advisors Has Risen Double-Digits Since 2010
(Matching tags: Advisor businesses,financial planning,regulation)
There is good news in the marketplace. Over the past two years, compensation for advisors has increased by double digits. Pay for chief executives or presidents of advisory firms has risen ...
Monday, February 25, 2013
If SEC Won't Fix Its Own Problems, Other Regulatory Bodies Will
(Matching tags: Dodd-Frank,regulation,sec)
Taxpayers have been waiting since 2008 for the SEC to take action to prevent a repeat scenario of the worst economic crisis since the Great Depression. But the Financial Stability Oversight ...
Friday, February 22, 2013
FINRA Reissues Controversial Business Practice Rules Of 2010
(Matching tags: FINRA,SIFMA,regulation)
FINRA is reissuing a set of controversial rules for advisors. The original rules were issued in 2010 and comments signaled that the requirement for 30-days’ notice from its members for changes ...
Wednesday, February 20, 2013
Fed Gets Behind Greater Money Fund Oversight
(Matching tags: regulation,Federal Reserve,mutual funds)
All 12 of the Federal Reserve’s regional banks are in favor of tougher oversight of money market mutual funds, encouraging the funds to abandon the $1 net asset value and allow values to be set by ...
Wednesday, February 13, 2013
POGO Report Shows Possible Influence Of Wall Street Executives On SEC Policy And Enforcement Decision Making
(Matching tags: Morgan Stanley,sec,regulation)
A report published by the Project on Government Oversight (POGO) just a few weeks after Mary Jo White was nominated to head the SEC shows that there was a revolving door between Wall Street executives ...
Monday, February 11, 2013
FINRA Pulls Proposal To Eliminate 5% Rule As A Result Of Commentary
(Matching tags: regulation,trade,FINRA)
Two years ago FINRA initiated a proposal that would update guidance regarding the 5% threshold for markups and markdowns. Commentary warned FINRA not to do away with the rule. Now, the regulatory ...
Tuesday, February 05, 2013
Structure Of Consumer Financial Protection Bureau Comes Under Fire From Republicans Even After They Had Input On Its Formation During Development Of Dodd-Frank
(Matching tags: regulation,Congress,Dodd-Frank)
Republicans are digging in their heels, refusing to allow anyone from any party to be named head of the Consumer Financial Protection Bureau (CFPB) until the agency’s infrastructure is overhauled. ...
Monday, February 04, 2013
New FINRA Rule Would Mandate BrokerCheck On Every Firm Website Or Other Internet Presence
(Matching tags: FINRA, Dodd-Frank,regulation)
A new rule out for comment by FINRA would mandate a link to its BrokerCheck website on every broker-dealer’s website, social media pages, or other comparable types of internet presence. ...
Thursday, January 31, 2013
Underscoring Why The Financial Planning Coalition Is Headed In the Wrong Direction, 1,100 Advisors Attended AICPA’s Financial Planning Conference
(Matching tags: CFA,IMCA,FPA,profession,regulation,RIAs,SRO,financial planning,CFP Board,NAPFA,Dodd-Frank,fiduciaries)
With AICPA saying 1,100 advisors attended its financial planning conference this past week, the importance of CPA financial planners to the financial planning profession is self-evident, as is the unrealistic ...
Friday, January 25, 2013
Entrepreneurs Are Popping Up Websites In Anticipation Of Crowdfunding Rules; SEC Is Already Looking For Possible Risks To Investors
(Matching tags: investing,regulation,sec)
Entrepreneurs are wasting no time popping up websites in anticipation of the new crowdfunding rules; neither is the SEC. Over 200 websites are being scrutinized by regulators for possible ...
Friday, January 18, 2013
FINRA Creates Interim Form For Crowdfunding Portals And Will Use Information Gathered To Formulate Rules
(Matching tags: regulation,FINRA,sec)
In a step closer to formluating crowdfunding rules, FINRA has created an interim form for prospective crowdfunding portals. Information businesses voluntarily submit on the form will be used ...
Friday, January 11, 2013
FINRA Focuses On Dark Pools, High-Speed Trading For 2013
(Matching tags: FINRA,regulation,sec)
FINRA is boosting its watch over dark pools and high-speed trading, especially trading across exchanges. This is in addition to the effort to mandate brokers to disclose to clients the bonuses ...
Wednesday, January 09, 2013
A New Industry Is Already Being Formed Around Crowdfunding As SEC Contemplates Mandated Rules
(Matching tags: investment strategies,regulation,sec)
A whole new industry is springing up around crowdfunding even as the SEC contemplates the rules mandated by the JOBS Act that it must create. And young companies seeking easier access ...
Monday, January 07, 2013
Basel Committee On Banking Supervision Delays Implementation Of Basel III For Europe And US And Relaxes Asset Restrictions
(Matching tags: banks,regulation,world economy)
Central bank chiefs across the globe agreed to delay implementation of the Basel III liquidity requirements that would have mandated a total of 7% in loan loss and other reserves for banks. ...
Monday, January 07, 2013
Hedge Funds Will Become More Of A Target For SEC When JOBS Act Provision Is Enacted
(Matching tags: hedge funds,regulation,sec)
The SEC will be sharpening its monitoring of hedge funds wishing to get into the retail mutual fund space. Bruce Karpati, Enforcement Division asset management unit chief, says that easier ...
Friday, January 04, 2013
Here Are Three Names To Watch In New Regulatory Guard For 2013
(Matching tags: regulation,Dodd-Frank,sec)
Remember these names: newly installed SEC Chair Elisse Walter, Rep. Jeb Hensarling (R-TX), and Phyllis Borzi. These are the three people whose roles will most affect your business during 20
Thursday, December 20, 2012
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