Regulation

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  1. Articles

    Pension giant CalSTRS ponders dumping $20B in stocks and bonds in favor of alt strategies

    Breakfast with Benjamin: CalSTRS, the country's second-largest pension fund, considers moving $20 billion out of traditional investments and into alternatives.

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    Adviser running for Congress wants to protect Dodd-Frank reforms

    Candidate says clients and constituents, virtually unfazed by recent market turbulence, need a level playing field for financial advice.

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    That awkward moment when the Fed realizes it can't raise interest rates

    Breakfast with Benjamin: William Dudley, president of the New York Fed, says delaying a rate hike until 2016 'will be awkward.'

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    Groups opposing DOL fiduciary rule step up lobbying spending

    Interest groups wanting to stop a Labor Department proposal that would change the rules for investment advice to retirement accounts have stepped up their lobbying expenditures.The Financial Services Institute, for instance, has spent $428,876 on lobbying during the first half of the year, compared

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    Gloom overshadows Wall Street, but some economists still see a September rate hike

    Breakfast with Benjamin: Despite the mood on Wall Street getting downright gloomy, some economists still think the Fed will raise interest rates next month.

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    Finra sweep homes in on conflicts in broker pay

    The regulator is examining a broad range of possible conflicts, from production incentives and mutual fund fees to recruiting bonuses.

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    SEC fines RIA $2.8 million and bars owner in 'Madoff of Main Street' case

    Regulator bars owner of Total Wealth Management, Jacob Cooper, known as 'Main Street Madoff' by former clients, and holds him liable in case where losses are expected to total as much as $44 million.

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    UBS hit with $2.5 million award in Puerto Rico case

    Claim is tied to so-called “Whopper” broker Jose Gabriel Ramirez Jr., who faces raft of claims related to closed-end funds.

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    Adviser advocates seek more privacy for SMA disclosures

    Worry heightened reporting requirements in new SEC proposal would force them to divulge 'secret sauce' of separately managed accounts' investment strategies.

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    While DOL hearings stay civil, Twitter gets rowdy

    Tweets from around the industry tell the tale of the battle for and against a fiduciary standard for brokers.

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    Facebook stock-fraud venture lands fund manager in hot water

    Breakfast with Benjamin: Tampa-based fund manager to plead guilty to investment fraud in relation to $9M worth of Facebook stock he purchased then sold and was caught short when the stock price rebounded.

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    State Farm hit with excessive fees suit over target date funds

    Plaintiffs accuse firm of receiving almost half of the management fees while a sub-adviser did most of the work.

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    Opponents to DOL fiduciary rule say tweaks aren't enough

    Witnesses for and against the Labor Department's fiduciary proposal, including SIFMA's Ken Bentsen Jr., square off over the rule requiring brokers to act in clients' best interests.

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    China's stock market freefall has only just begun

    Breakfast with Benjamin China's stock market rout is being described as just the beginning, with some big moves still to come.

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    'Dissident' candidate defeats Finra's hand-picked nominee for board seat

    Brian Kovack wants to make the organization more effective without antagonizing firms that are doing the right thing