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The Financial Industry Regulatory Authority has issued a statement that seeks to clarify its new proposal that relaxes rules pertaining to brokers' outside business activities, ThinkAdvisor reports. FINRA Rule 3270 states, "No registered person may be an employee,...
Certified financial planners will be paying higher fees starting next fall under an increase announced by the CFP Board that will help fund expanded marketing efforts. The board approved a $120 hike that raises the annual fee of CFP certification and renewal to $575. ...
The Securities and Exchange Commission announced it has charged three Texas residents with defrauding hundreds of investors through a $91 million Ponzi scheme. The defendants were identified as Kenneth W. Alexander II, Robert D. Welsh, and Caedrynn E. Conner of...
A dispute between TD Bank and one of its former advisors who left to work for Raymond James will be decided by a Financial Industry Regulatory Authority arbitration panel, ThinkAdvisor reports. In a court complaint filed last month, TD Bank alleged that Adam Bracy,...
A Massachusetts-based investment advisory firm and its CEO were found liable for violating fiduciary standards but were cleared on more serious fraud charges, WealthManagement reported. The split verdict followed a seven-day jury trial in the U.S. District Court for...
The Financial Industry Regulatory Authority has denied the claims of a former Osaic executive who went to arbitration in his dispute with the firm, Financial Advisor reports. Jerome "Jerry" Murphy was the chief executive officer of FSC Securities Corp., owned by...
A major shift will affect the financial industry in the coming years with women expected to exert greater control over the nation's wealth, Financial Advisor reports. This transformation was one of the main topics of a panel discussion at Financial Advisor magazine’s...
A new initiative from the White House seeks to assert greater presidential control over independent agencies responsible for much of the nation's regulatory activity, according to a report from Bloomberg and Wealth Management. The Securities and Exchange Commission...
Paul S. Atkins has assumed his new role as Chairman of the Securities and Exchange Commission after being sworn into office last week, the SEC announced. Atkins, whose nomination by President Trump was confirmed by the Senate by a 52-44 vote, was sworn in by Treasury...
Joint whistleblowers will be receiving an award of about $6 million from the Securities and Exchange Commission for their assistance, the SEC announced. The whistleblowers were credited with providing new information that led to the opening of an examination and...
