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Stories of Interest
- 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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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.