U.S. regulator brings transparency to the MBS market
Newedge failed to reasonably monitor for potentially manipulative trading, FINRA says
Many alt funds have limited performance histories, and investors should understand the strategies and risks of any fund they are considering
Wells Fargo and Banc of America to reimburse customers
Ex Wolverton and Canaccord reps no longer registered
Couple assured U.S. government would not allow Lehman Brothers to fail
Executives suspended for inadequate anti-money laundering programs
Fund companies need not report all social media postings
Investors should know up front about any potential conflicts of interest
Rule aims to address conflicts of interest that can arise when firms offer significant financial incentives to recruit reps but don’t tell clients