- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
A coalition of investor advocacy groups, including Public Citizen, the Public Investors Arbitration Bar Association, and the PIABA Foundation, is calling upon the SEC to supplement the Financial Industry Regulatory Authority’s BrokerCheck system for vetting financial professionals with a national disciplinary database and to make improvements to the existing ...
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The SEC’s Consolidated Audit Trail initiative, which will give regulators a means to efficiently track all trades in real time, has moved one giant step closer to reality with a call for public comments. But what will its final form look like? Joe Mont offers a closer look.
It sounds reasonable enough: hold broker-dealers and investment advisers to a fiduciary standard when they offer investment advice, specifically with retirement plans. Firms, however, fear that pending rules, split between the Securities and Exchange Commission and Department of Labor, are not in sync and unintended consequences will radically alter traditional ...
A whistleblower will be paid $37 million by the Securities and Exchange Commission for providing original, credible information that led to a successful enforcement action.
