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  1. Articles

    Citigroup fined $15 million for analyst supervisory failures

    Failing to supervise research analysts and their handling of material non-public information at issue, Finra says.

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    SEC's Daniel Gallagher questions need to revise accredited-investor standard

    Commissioner says that the private market is working just fine and that the effort to revise the accredited-investor standard is a waste of time.

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    Commodity Futures Trading Commission teams up with SEC and Finra to combat investor fraud

    Federal financial regulators collaborate on consumer website linking resources on advisers and investment products.

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    SEC keeps fiduciary promises vague for 2015

    Agency's annual report reveals higher percentage of adviser exams, and priorities for next year.

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    RCAP confirms regulatory inquiries

    SEC, Finra and state securities agencies have been in contact with the Schorsch firm after a $23M accounting error was revealed at a sister company. RCAP also confirms Massachusetts investigation.

  4. Articles

    ARCP delays third-quarter earnings report

    American Realty Capital Properties wins approval from creditors for postponement of reporting its third-quarter financial statements until Jan. 5.

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    Brokers can complain to Finra about exams – anonymously

    Brokers like to complain about Finra exams. Now they have a chance to tell the organization exactly what they think — anonymously.

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    State regulators name top offerings likely to hurt investors in 2015

    NASAA calls binary options, stream-of-income and marijuana schemes emerging investor threats.

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    SIFMA plans to step up opposition to DOL fiduciary-duty rule

    Wall Street resistance has helped slow down a pending Department of Labor rule to strengthen standards for advisers to retirement plans. With a re-proposal slated for January, the Securities Industry and Financial Markets Association is urging more of its firms to contact Congress to oppose the ...

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    Will missteps menace Schorsch's empire?

    The revelation of accounting errors at Nick Schorsch's flagship REIT, American Realty Capital Properties, could not have come at a worse time. Here's why. (Also: BD puts kibosh on ARC nontraded REIT sales)

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    Finra names new head of arbitration

    A 19-year veteran of the organization will replace Linda Fienberg on Dec. 1.

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    New rules for annuities and target date funds inspire products race

    Firms are at the drawing board designing retirement products, thanks to new guidance issued last week by the Treasury and Labor departments

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    Brokers warned to beef up training on complex products

    Regulators alarmed at lack of knowledge brokers demonstrate about the products they're selling.

  12. Articles

    LPL's former star adviser finds a home

    James “Jeb” Bashaw is now registered with small broker-dealer International Assets Advisory.

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    CEO Mark Casady apologizes to LPL Financial shareholders for compliance missteps

    Mark Casady apologizes to LPL Financial shareholders for compliance missteps as company takes hit to third-quarter profits. (See also: LPL's regulatory hit list)