Legislation And Regulation

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Watch breaking news videos and read news updates about Legislation And Regulation on investmentnews.com

  1. Articles

    Quantity does not equal quality: Expanding 'disclosure events' on BrokerCheck a bad idea

    Brokerage industry is only one in which professionals as deemed guilty until proven innocent.

  2. Articles

    Under Finra proposal, brokerages will be forced to conduct background checks on new brokers

    Regulator would also cross-check broker disclosures against public court documents.

  1. Articles

    Ketchum calls controversial automatic data collection key to catching rogue brokers

    Exclusive: Having pulled back efforts to become the regulator for advisers, Finra CEO Ketchum has plans to discuss BrokerCheck at this month's board meeting.

  2. Articles

    Brokers' test failures raise red flag

    Analysis finds brokers who fail basic securities exams have more dings on BrokerCheck.

  3. Articles

    Finra sends expungement rule to SEC; plaintiff's lawyer says won't have an impact

    If approved, rule would prohibit investor complaints from being contingent on clearing a broker's record.

  4. Articles

    Finra gets arbitration process back on track in Puerto Rico

    After several months of deliberations, Finra has expanded its pool of arbitrators and is ready to move forward with the hundreds of complaints related to collapses in Puerto Rico bond funds. That doesn't necessarily mean smooth sailing.

  5. Articles

    When a regulator like Rick Fleming sounds more like a politician, it could be a good thing

    The new SEC investor advocate establishes the narrative with story about his upbringing.

  6. Articles

    Finra review of old rules could lead to changes

    B-D regulator picks communications and gratuities — areas with plenty of complaints, questions — for initial focus.

  7. Articles

    Ketchum says Finra is backing off adviser oversight: Report

    Regulator's CEO says chances of success are thin but agrees that adviser oversight needs improvement.

  8. Articles

    Take the quiz: Are your client review tactics compliant?

    Now that the SEC has allowed advisers to use third-party client reviews on their websites or social-media pages, it's time to figure out what kinds of uses will run afoul of industry regulators. Test your compliance knowledge with these five client review sharing scenarios to figure out if you're

  9. Articles

    Finra reviews effectiveness of broker-dealer rules

    Tackles broker communications with the public as well as gifts, gratuities and non-cash payments; will look at other regulations.

  10. Articles

    Ex-UBS broker awarded $5.4 million in case over Lehman notes

    A Finra arbitration panel has ordered UBS Wealth Management Americas to pay one of its former brokers $5.4 million for representing structured products from Lehman Brothers as being suitable for clients even as Lehman began to falter.

  11. Articles

    UBS, Merrill push to keep bond fund hearings in Puerto Rico

    In confidential meeting, firms' attorneys oppose allowing arbitration cases to be heard in Southeast venues.

  12. Articles

    Former Vermont securities director joins LPL as a compliance officer

    John Cronin will oversee supervisors in the Northeast; 'it's like hiring an IRS guy to be your CPA.'

  13. Articles

    SEC commissioners push back against systemic designation for mutual funds

    Two on panel annoyed with regulatory action on "too big to fail"; Gallagher says asset managers shouldn't be considered systemically key.

  @IN Wire

Mar 07 10:29PM
10 professions that need the most coffee to survive - I Love Coffee http://t.co/3XfZW17f0c
Mar 07 10:00PM
"J.P. Morgan Securities goes on recruiting offensive" http://t.co/Ag4rX0oR04 good read

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