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Deeper broker background checks are necessary
Implementing a rule that would require mandatory background checks on new brokers could help uncover crucial information
SEC eyes new stock trade disclosure requirements
Facing new pressure to overhaul trading after Michael Lewis's book "Flash Boys," the regulator may require brokers to reveal exactly where stock trades are executed. The change would limit deals brokers make with exchanges at the expense of investors' interests.
Brokerage industry sounds off about Finra broker compensation proposal
Comment letters show independent B-Ds want no part of it, while wirehouses are all for it.
GAO cites SEC for cybersecurity lapses
Weaknesses found in way agency authenticated users, authorized access and encrypted data.
Cybersecurity gets the SEC's attention as agency plans to query advisers on safeguards
In risk alert, regulator provides advisers with a detailed checklist of what it expects firms to provide for cybersecurity protection.
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.
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.
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.
Brokers' test failures raise red flag
Analysis finds brokers who fail basic securities exams have more dings on BrokerCheck.
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.
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.
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.
Investors turn focus to first-quarter earnings
Breakfast with Benjamin: All eyes are on earnings. Plus: The SEC discovers high-frequency trading, momentum takes out passive investors, AAA credit ratings becoming extinct, new love for emerging markets, six solid stocks to watch this week, overwhelmed at the IRS, and Switzerland votes for the ...
Is Finra pulling its effortsto be the SRO for advisers?
Despite Finra's denials (including one from CEO Richard Ketchum just last week), some believe the regulator still wants to be the SRO for advisers.
Mary Jo White defies political meddling in first year at SEC
Mary Jo White took over the Securities and Exchange Commission with a back-to-basics plan to toughen enforcement and clear a backlog of regulations aimed at the last financial crisis.
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February 27, 2014