“SEC Deals Merrill a $425M Wallop – Other Firms Could Be Next”
From the SEC: Merrill Lynch to Pay $415 Million for Misusing Customer Cash and Putting Customer Securities at Risk “The Securities and...
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Sep 22, 20141 min read
New FINRA Proposal Puts Responsibility on Investors
When a broker switches to a new firm, it will be up to clients to find out how big a bonus that broker is getting for making a move,...
Sep 10, 20141 min read
Regulators Focusing on Improved Disclosure of Broker Fees
Yesterday the National American Securities Association announced that it has formed a working group meant to improve broker-dealer fee...
Jul 28, 20141 min read
SEC Approves New Brokerage Industry Rule
The US Securities and Exchange Commission wants to make it a little harder for brokers to remove marks from their public records after...
Jul 22, 20142 min read
Things You Should Know About Investing from the SEC
Following are a few things the SEC wants investors to know: “Checking the background of an investment professional is easy and free. ...
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