Hugh Kennedy
FINRA will make the treatment of seniors and other vulnerable investors a top priority this year. In its new 2016 Regulatory and Examination Priorities letter ...
Thousands of unsuitable mutual fund switches and a failure to provide applicable breakpoint discounts will cost Barclays Capital $13.7 million for the suitability violations. In ...
Yet another SEC case charges an investment adviser for placing its own financial interests ahead of its clients and for attendant disclosure failures – and ...
For investors in Canarsie Capital Fund Master L.P., the total collapse of the hedge fund was incredibly rapid and catastrophic. In a two-week period spanning ...
Broker-dealers should make sure they’re in compliance with the requirement in Regulation NMS rule 603(c) that firms provide a consolidated display of market data when ...
Come next June, broker-dealers will be required to include on their websites a “readily apparent reference” and hyperlink to BrokerCheck. FINRA posted on Dec. 7 ...
A failure to disclose “with sufficient prominence and detail” that its investment strategy’s advertised performance was hypothetical rather than actual has landed Alpha Fiduciary and ...
SEC officials have been quite vocal of late on the controversial issue of CCO liability. FINRA leaders, however, have been largely silent on the matter. ...
Details on exam trends and the application of exemptions and exclusions from the municipal advisor registration rules will be among the issues covered at the ...
Beginning this month, investors will now have quicker access to disclosure information reported on Form U5. The SEC has approved a change to FINRA rule ...