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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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SEC Priorities for Protecting Retail Investors
July 11, 2017
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.
Related Stories: Regulators
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FINRA Election Notice: Upcoming Board of Governors Election
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SEC and FINRA Compliance Outreach for Broker-Dealers
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FINRA 'Inflates' Monetary Sanctions in Sanction Guidelines
March 1, 2019