Max Zavanelli spent his career in the financial services industry but the SEC seeks to bar him because some ads for his GIPS-compliant investment advisory ...
The passage of time into July triggered a new NFA requirement that CPOs and CTAs report their current assets divided by current liabilities and total ...
That’s a lot of information that the Labor Department asks for in its new request for information seeking comments on whether its full fiduciary duty ...
With FINRA using data analytics and other high-tech tools that zero in on risk, the exam process is now more focused than ever. That means ...
With cybersecurity risks threatening our privacy, it’s no wonder some would seek technology to shield their communications from prying eyes. But you can also understand ...
An attorney for Ray Lucia, the investment adviser who has spent the last four years challenging an SEC ALJ finding that he engaged in misleading ...
How does FINRA prepare for an exam? What are examiners looking for once they knock on your door? Here’s a peek into one senior examiner’s ...
Once again you’re being asked to share your comments about standards for financial professionals, but it’s not by the SEC this time (IA Watch, June ...
Washington’s glacial pace – slowed by partisan bickering – has claimed another victim. CFTC Commissioner Sharon Bowen was due to leave her seat in ...
Consider the cross-winds in advertising regulation. The burden, when it comes to the volume of filings required by FINRA, is going down, but the risks, ...