The Delicate Balance Between Government Financial Reform and Unintended...
In last Saturday’s edition of the New York Times, Joe Nocera wrote an interesting piece outlining some of the major obstacles currently facing the House Financial Services Committee. The agency, which...
View ArticleFINRA Bonus Disclosure Rule to SEC
Dear Friends, On March 10, 2014, FINRA filed a proposal with the SEC requiring brokers who receive more than $100,000 in incentive compensation to switch firms, to disclose to clients how much they are...
View ArticleSEC Charges Equity Research Firm Owner
December 16, 2014 Dear Friends, Today, the SEC announced charges against an equity research firm owner for engaging in wash trades – creating the misleading appearance of consistent active trading in...
View ArticleFINRA Cybersecurity Report
February 12, 2015 Dear Friends, FINRA released a report on cybersecurity practices, outlining the results from its 2014 cybersecurity sweep targeting high-frequency traders, independent dealers, large...
View ArticleSEC Chair Endorses Uniform Fiduciary Standard
March 18, 2015 Dear Friends, SEC Chair Mary Jo White announced that she would like the SEC to develop a new rule, requiring brokers to have a fiduciary duty akin to investment advisers – to hold...
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