BROWSE BY TOPIC
Stories of Interest
- North Korean caught secretly mining bitcoin rival
- IPO Timelines Cut by 80% After SEC's Private Filing Decision
- How the Carried Interest Break Survived the Tax Bill
- FINRA: The Neutral Corner
- Coinbasex Says Buying and Selling Temporarily Disabled Amid Price Rout
- Bitcoin plunges by more than a third in a single day
- Goldman Is Setting Up a Cryptocurrency Trading Desk
- Jefferies Lets Employees Choose When to Receive Their Bonuses
- UBS Told to Pay $903K After Losing Retaliation Verdict
- BEWARE: Long Island Iced Tea Shares Soar After Changing Name to Long Blockchain
- Gary Cohn’s Last Laugh: Cashing Out on Trump’s Tax Plan
- E*Trade Lets Customers Trade in CBOE Bitcoin Futures
- Swiss Find Serious Shortcomings at JPMorgan in 1MDB Case
- Washington-based Investment Adviser and His Business Partner Charged in Multi-Million Dollar Scheme
- FINRA Board of Governors Meeting
- Cryptocurrency Market Now Doing Same Daily Volume as the NYSE
- Jailed Barclays Trader Must Pay $400,000 From Libor Profits
- Trump Asks ‘How’s Your 401(k)?’ But Most Voters Don’t Have One
- A Bitcoin Hedge Fund’s Return: 25,004% (That Wasn’t a Typo)
- Madoff Victims Near Full Recovery of Principal With Payout
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NEWSLETTERS & ALERTS
SEC Priorities for Protecting Retail Investors
by Howard Haykin
SEC Chairman Jay Clayton has his agency focusing on measures intended to protect the retail investor. According to Financial-Planning.com, staffers will be conducting sweep exams and monitoring investment advisors and broker-dealers for compliance with recently-enacted rules and regulations - all in addition to the SEC's regularly-scheduled exams. Issues to be addressed include, the following:
- robo-advisers or automated services used to augment the provision of investment advice.
- money market fund rules adopted by the SEC to shore up that sector following the destabilizing run in 2008.
- disclosures of target-date funds.
- fixed income cross-trading relating to retirement accounts.
- adoption of home office/multi-branch office structures by RIAs, modeled after B/D structures.
- movement of disciplined brokers who exit the broker-dealer world and reemerge on the investment advisory side.
- measures taken by firms that hire brokers with disciplinary histories.