The Practice: Regulatory/legal issues
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March 2, 2015SEC Approves Rule on Who Can Be an ArbitratorSecurities industry veterans and plaintiff lawyers need not apply.No Comments
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February 27, 2015Behind Obama’s Shout-Out to Sheryl GarrettThe pioneer of fixed-fee, fiduciary planning was “giddy” when POTUS praised her.Last Comment: May 1, 2015
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February 25, 2015One FA Asks Why These Practices Aren’t BannedHiding behind fine print is no way to serve your clients.No Comments
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February 24, 2015Morgan Stanley Broker Files Whistleblower SuitFired FBI informant, who alleged insider trading and accounting fraud, wants old job back.Last Comment: February 24, 2015
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February 23, 2015Was Morgan Stanley Hacked After All?More client data appeared online after the scandal broke.Last Comment: February 23, 2015
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February 23, 2015Labor Dept. Proposes Rule on Retirement AdvisorsWith strong White House backing, a draft finally sees the light of day.Last Comment: February 23, 2015
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February 17, 2015Could Advisors’ Senior Moments Be a Legal Liability?Finra warns investors about the red flags of “diminished capacity.”No Comments
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February 17, 2015As Cyber Risk Soars, Tips for Adding SecurityFirms’ biggest point of weakness may be their clients.No Comments
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February 13, 2015Finra Gears Up to Process More Data, FasterNew office could help the brokerage regulator in Cards fight.No Comments
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February 11, 2015Sallie Krawcheck Explains Why Clients LeaveIt’s all about clumsy contact and inconvenience, says the ex-boss of Merrill and Smith Barney.Last Comment: February 18, 2015
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