"The fundamental problem is that we are not examining investor protection, efficiency, competition, and capital formation in a steady state ecosystem. Rather, it is fast-changing, ...
"This Council should remain vigilant in monitoring the mortgage-backed securities market, including non-bank mortgage servicers and their associated risks — from liquidity risks to leverage ...
Legal action could give you more time to comply with the DOL's new fiduciary duty rule, tips for combatting elder financial fraud, be sure to ...
It didn’t take long for a group representing insurance agents to sue the Labor Department over its new fiduciary duty rule
Here’s an idea: put up a poster in your office that warns of elderly financial fraud—one that shares a story of a grandmother ripped off ...
Here's a call to action to reduce senior financial fraud
Gain ideas for helping to reduce senior financial fraud
During the examination, Commission staff informed Ali about the Advisers Act custody rule’s requirements and its prohibition against commingling client money with the firm’s. However, ...
"That’s why alternative methods of capital raising can play such a critical role. Angel investing and crowdfunding have helped develop our vibrant private markets alongside ...
"Increasingly, our regulations reach into the operations of firms over which we do not have authority, such as service providers to securities firms .... One ...