NEWS & GUIDANCE
The percentage of investment advisers examined by the SEC in the 2014 fiscal year that ended in September hit 10% of the RIA population for the first time in six years – and topped the agency’s goal of 9%. The target percentage for broker-dealers also was surpassed, as FINRA and the SEC assessed 4...
The difficulty of getting a handle on new rules for trading derivatives intensifies when two regulators don’t agree. Take the segregation of margin for cleared swaps deals, and the CFTC’s and the EU’s European Markets Infrastructure Regulation regimes. At its simplest, the CFTC’s swaps rules requi...
Neither side is talking for the record but newly-filed court documents describe a deteriorating office environment that ultimately led to the firing of a FINRA deputy regional director and charges of age and sex discrimination. It appears recent settlement talks have sputtered, suggesting federal ...
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