The client agreement between Schwab and an investor no longer includes language giving the authority to make first-party money wire transfers. Count this as a ...
Long before the me-too movement, former broker-dealer Blackbook Capital fired Ahmed Gadelkareem for repeatedly “threatening and abusive interaction with female employees.” The story begins ...
Senator Elizabeth Warren (D-Mass.) believes it’s high time for FINRA to use its authority to address unpaid arbitration awards that are costing investors hundreds of ...
When the SEC changed the face of its custody rule last year, advisers and custodians were forced to act. Among the revisions made by Pershing Adviser ...
Cyber bad guys target the CFTC’s website hundreds of times a day, sometimes they even take it down (CPO/CTA Watch, March 19, 2015). “The ...
FINRA is looking to move on a single streamlined rule addressing the outside business activities and private securities transactions of broker-dealers’ registered persons. The SRO ...
Although the SEC’s proposed target date fund rule never became final, the lack of regulation hasn’t deterred OCIE. IA Watch has obtained a document request ...
It seems Riordan Lewis & Haden ($707M in AUM), a Los Angeles-based private equity fund adviser, was intent on getting money from the government one ...
FINRA is dialed in to ensuring a consistent approach to enforcement so that you know what you can expect from the SRO and then can ...
Everybody seems to be talking about cryptocurrencies. It’s one reason OCIE has made it a new item on its 2018 exam priorities’ list (IA Watch, ...