Sep 10, 20141 minRegulators Focusing on Improved Disclosure of Broker FeesYesterday the National American Securities Association announced that it has formed a working group meant to improve broker-dealer fee...
Jul 28, 20141 minSEC Approves New Brokerage Industry RuleThe 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 minThings You Should Know About Investing from the SECFollowing are a few things the SEC wants investors to know: “Checking the background of an investment professional is easy and free. ...
Jul 14, 20141 minThe Fed is Worried About Junk BondsIn her semi-annual testimony on Capitol Hill that started on Tuesday morning, Fed Chair Janet Yellen made it clear that the Fed is...
Jul 7, 20141 minFINRA Concerned about Variable Annuity SalesThe Financial Industry Regulatory Authority will continue to be “very focused” on variable annuities, according to chief risk officer...