Tag: SEC

Ron Rhoades, the chair-elect for the National Association of Personal Financial Advisors (NAPFA) for 2012-13, announced he would resign.

Reporting capabilities for Form PF were added to the alternatives product suite of services for J.P. Morgan Worldwide Securities Services.

Social media offers an opportunity to build your brand. But send a seemingly innocent tweet – or “like” the wrong Facebook page – and you could step into...

Global Relay updated its Twitter archiving software to help advisers meet Securities and Exchange Commission (SEC) as well as Financial Industry Regulatory Agency (FINRA) regulations.

FINRA’s proposed fee hikes for new applications and branch office registrations would force many independent broker/dealers (IDBs) out of business, the Financial Services Institute (FSI) said.

 The Securities and Exchange Commission (SEC) hired Paula Drake as an associate director in its Office of Compliance Inspections and Examinations (OCIE).   

The SEC is better suited to oversee independent advisers, the National Association of Personal Financial Advisors argues.

The Commodity Futures Trading Commission (CFTC) voted to finalize definitions and exemptions as part of the new regulatory regime for over-the-counter (OTC) derivatives.

The Securities and Exchange Commission (SEC) named Norm Champ director of the agency’s Division of Investment Management.

 The Securities and Exchange Commission (SEC) appointed Ken C. Joseph to lead the Investment Adviser/Investment Company Examination Program in the agency’s New York office.   

Gary J. Martel, of Chelsea, Massachusetts, was charged by the Securities and Exchange Commission (SEC) with defrauding investors of $1.6 million. His assets were also frozen.

The tax firm KPMG LLP formed an alliance with Axiom Software Laboratories Inc. to address new regulatory requirements facing investment advisers, such as Form PF.

The Securities and Exchange Commission (SEC) released amendments to the pay-to-play rule under the Investment Advisers Act of 1940.

The bill is crucial to protect middle-class Americans who need the services of a financial adviser, the president of the Financial Services Institute (FSI) told Congress.

U.S. Department of Labor (DoL) Secretary Hilda L. Solis told lawmakers this week that the agency is not rushing on its re-proposal of a new definition of fiduciary.

Japan's financial regulator halted operations of a Tokyo money-management company after finding it allegedly lost billions of dollars in client money.

Mid-sized advisers must transition their registration from the Securities & Exchange Commission (SEC) to their applicable state authorities and are encouraged to begin the process as soon as...

Institutional investors that participated in a survey by Mercer addressed climate change risk via asset allocation and other initiatives.

The Securities and Exchange Commission (SEC) issued two alerts for investors and firms on social media risks.