Disclosure

NASAA’s model fee disclosure schedule is gaining wider acceptance among brokerage firms. The association announced May 9 that nine additional securities firms have agreed to ...

What does FINRA say about accepting sponsor payments for firm conferences? Are payments subject to dollar limits? Is there a disclosure requirement? Is there a ...

Take in one more sign that there’s a new sheriff in town. A new decision by an SEC ALJ bars an adviser who has spent ...

The adviser followed the rules and disclosed a conflict and compensation on Form ADV that it received from a clearing broker. However, the adviser failed ...

The SEC has taken another step in its ongoing efforts to improve transparency in the municipal securities market. The Commission approved March 1 proposed amendments ...

These event notices would facilitate timely access by investors and other market participants to important information about municipal issuers’ financial obligations. With this information, ...

Today’s proposal would take a step toward increased transparency. Specifically, it would update the rule with the aim of providing more timely information about ...

The SEC Jan. 25 charged a Massachusetts-registered investment adviser and its managing partner, CCO and sole employee Michael Breton with cherry-picking client trades. The case ...

Not adequately disclosing the risks and costs of a foreign exchange program have led to separate SEC settlements for Morgan Stanley Smith Barney and Citigroup ...

Between August 2010 and July 2011, certain registered representatives of CGMI and certain registered representatives of Morgan Stanley Smith Barney LLC (“MSSB”) presented to certain ...