All broker-dealers articles – Page 2
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Blog
SEC proposes new disclosure rules for broker-dealers
The Securities and Exchange Commission was busy this week: disclosure rules for broker-dealers; simplification of disclosure requirements; changes to administrative proceedings … Jaclyn Jaeger has the Commission rundown.
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Blog
FINRA announces CEO transition
The Financial Industry Regulatory Authority’s Board of Governors has concluded its CEO search, and appointed Robert Cook as president and chief executive officer, effective the second half of 2016. Cook will succeed Richard Ketchum, who has served as chairman and CEO since 2009. Joe Mont has more on the transition.
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BlogLawsuit challenges legality of Labor Dept. fiduciary rule
A coalition of business groups is suing to strike down the Department of Labor’s recent “fiduciary duty” rule, calling it “over-reaching” with an end result that “will restrict hardworking Americans’ access to retirement advice and planning services.” Joe Mont provides details on the suit being brought by the U.S. Chamber ...
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Blog
Bloomberg revamps counterparty onboarding process with Entity Exchange
Bloomberg announced the launch of its Entity Exchange platform, a web-based, centralized and secure solution that enables buy-side firms to provide entity data and documentation to their trading counterparties.
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