1. Articles in category: FINRA News

    1-24 of 235 1 2 3 4 5 6 7 8 9 10 »
    1. The Securities Regulators All Have Senior-itis. Maybe For Good Reason.

      The securities industry’s concern over the aging of the U.S. population, specifically, aging investors, has, apparently, reached a fever pitch. Yesterday in New York, SIFMA hosted its “Senior Investor Protection Conference – One Year Later: FINRA Rules 2165 and 4512,” and, for a securities conference, it received pretty extensive news coverage.

      Read Full Article
    2. Why Aren’t Hedge Funds Required to Fight Money Laundering?

      Why Aren’t Hedge Funds Required to Fight Money Laundering?

      by Heather Vogell

      For many years, the federal government has required banks, brokerages and even casinos to take steps to stop customers from using them to clean dirty money.

      Yet one major part of the financial system has remained stubbornly exempt, despite experts’ repeated warnings that it is vulnerable to criminal manipulation. Investment companies such as hedge funds and private equity firms have escaped multiple efforts to subject them to rules meant to combat money laundering.

      Read Full Article
    3. SEC settles charges with two ICOs that opens the door to nonfraudulent cases

      SEC settles charges with two ICOs that opens the door to nonfraudulent cases

      Cryptorelated business ventures that raise funds informally through a process known as an Initial Coin Offerings, or ICOs, are set for a shake-up—and not just the fraudulent ones.

      In a landmark ruling, the Securities and Exchange Commission on Friday settled charges against two ICO issuers, CarrierEQ Inc., or Airfox and Paragon Coin Inc., for launching unregistered coin offerings. It is the first civil penalty administered solely for violations from an ICO securities offering registration.

      Read Full Article
    4. FINRA Issues Alert Warning Investors of Stock Fraud Following Hurricane Florence

      WASHINGTON – FINRA today issued an Investor Alert warning investors to beware of potential investment scams touting stocks and other investments promising huge financial gains in the wake of Hurricane Florence.

      The Investor Alert, Beware of Stock Fraud in the Wake of Hurricane Florence, explains how investors can spot and protect themselves from investment scams associated with the clean-up or rebuilding of devastated areas.

      Read Full Article
    5. The SEC’s “Best Interest” Proposal – A Step Forward or a Set Back?

      The SEC’s “Best Interest” Proposal – A Step Forward or a Set Back?

      We asked financial professionals across the nation for their thoughts on the SEC’s effort. As you might imagine, it’s clear Regulation Best Interest has some good points and some not-so-good points.

      The post The SEC’s “Best Interest” Proposal – A Step Forward or a Set Back? appeared first on FiduciaryNews.

      Read Full Article
    6. SEC issues warning about self-directed IRA fraud

      SEC issues warning about self-directed IRA fraud
      By Gary Guthrie of ConsumerAffairs
      August 13, 2018

      As hand-wringing over dwindling pension trust funds and economic security continues to grow, many people are looking for ways to pump up their nest eggs. One investment angle that many consumers are working are self-directed Individual Retirement Accounts (IRAs).

      However, the Securities and Exchange Commission (SEC) is raising red flags about the risk vs. reward of that and other investment paths.

      Read Full Article
    7. Investor Alert: Self-Directed IRAs and the Risk of Fraud

      The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors of risks associated with self-directed Individual Retirement Accounts (self-directed IRAs). Self-directed IRAs allow investment in a broader—and potentially riskier—portfolio of assets than other types of IRAs.

      Read Full Article
    8. Comments on SEC’s Proposed ‘Best Interest’ Regulation Run the Gamut

      Comments on SEC’s Proposed ‘Best Interest’ Regulation Run the Gamut

      The Securities and Exchange Commission’s August 7 deadline for submitting comments on its proposed regulation best interest, Form CRS relationship summary and interpretation regarding standard of conduct is quickly approaching.

      No doubt the agency will receive numerous comments in the days ahead, but a review of some of the comments the agency has received so far reveals a wide range of opinions on the proposals.

      AARP Grassroots Campaign

      Read Full Article
    1-24 of 235 1 2 3 4 5 6 7 8 9 10 »
  1. Categories

    1. Members Only:

      Federal Regulation, State Regulation, Vulnerable Adults
    2. General:

      Business Continuity & Succession, Business Development, Education Funding, Financial Planning, FINRA News, Information Technology, Insurance and Risk, Investment Management, Life Insurance, Long Term Care, Organization, Retirement Planning, SEC News, Taxation, Vulnerable Adults, work/life balance
  2. Popular Articles