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Big data becomes a sharp weapon for regulators
Regulators are using troves of digital information to monitor broker-dealers
Coming off a big year, Janus files for exotic ETFs
Janus Capital Group Inc. this year has already snagged the world's most famous bond fund manager and acquired a manufacturer of exchange-traded funds.But it has even bigger plans in the ETF market, and they go beyond Bill Gross, according to filings with federal regulators.The fund manager late
SEC's White defends coverage of investment advisers
Chairwoman says agency is considering augmenting adviser exams with third-party audits.
Alternatives offer money managers a profitable lifeline
Low-cost index funds capturing 25% of new assets but drive just 5% of revenue.
Senate set to approve national insurance-agent registry
Though new board has wide support among state regulators, GOP senator cries foul over infringement of states' rights.
Alts fund manager Daniel Thibeault arrested in securities fraud
The FBI accused GL Capital Partners CEO Daniel Thibeault of creating fictitious loans to divert millions in assets to business accounts.
Wedbush founder faces bigger penalty, suspension after losing appeal
A review board denies the 82-year-old founder and president of Wedbush Securities' appeal and issues harsher sanctions, increasing the scope of the original suspension and doubling the fine for reporting violations.
Will the SEC use its extra funding to strengthen adviser oversight?
Now that it looks like the SEC will get an additional $150 million in funding, speculation is mounting on how the funds will be deployed. Is increasing adviser oversight going to be a priority?
SEC works on rule requiring practice transition plans
The regulator wants advisers to develop continuity plans to avoid major disruptions to clients and markets.
After Dodd-Frank, SEC relying more on own judges
After Dodd-Frank, SEC relying more on own judges. Regulator claims practice is more efficient, but lawyers say it puts defendants at a disadvantage
Congress set to pass bill giving SEC a budget boost, leaving DOL fiduciary rule alone
The bill preventing a government shutdown includes SEC funding hike and allowance to cut pensions. Left out is language that would have killed the DOL's fiduciary rule.
After hearing from member firms, Finra considers revising communications, gift rules
Broker-dealer regulator promises to modify rules after survey identifies 'pain points'.
Political bickering aside, the health care sector is a healthy investment
The seemingly endless political bickering over health care reform has not dampened investor enthusiasm for the sector, which is leading all stock categories this year, up 24%. “Health care has been kicking tush, and most of my clients want more of it in their portfolios,” said Theodore Feight,
Financial adviser, and Teddy bear collector, goes to prison for fraud
On Thursday's Breakfast with Benjamin, adviser, Teddy bear collector and former New York Islanders co-owner gets jail time for major financial fraud. Plus: Congress is finally disapproving of Congress, the real 'slack' in the labor market, and realizing even more things are taxable than you ...
SIFMA invokes fear of cyberterrorists in plea to fold CARDS
Major Wall Street interest group cites cost, regulatory creep and impact on civil liberties in attack on Finra's data-gathering proposal.
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