law enforcement

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  Waving the Red Flag on Identity Theft

  By Thomas D. Giachetti  |  May 28, 2013

  The SEC and CFTC jointly adopted new red flag regulations for identity theft, which may affect many advisors.

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  SEC Names Aronow as General Counsel

  By Melanie Waddell, AdvisorOne  |  January 7, 2013

  Geoffrey F. Aronow replaces Mark Cahn, who left the agency last week.

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  SEC, DOJ Release Foreign Corrupt Practices Act Guide

  By Melanie Waddell, AdvisorOne  |  November 14, 2012

  The Securities and Exchange Commission and the Department of Justice released Wednesday A Resource Guide to the U.S. Foreign Corrupt Practices Act, a 120-page guide providing a detailed analysis of the U.S. Foreign Corrupt Practices Act and closely examines the SEC and DOJ approach to FCPA enforcement.

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  SEC, FINRA Enforcement Roundup: Schwab's BrokersXpress Hit With Another Fine

  By Marlene Y. Satter, AdvisorOne  |  October 11, 2012

  FINRA and the SEC recently took action against a number of firms for everything from fraud to supervisory failure that in some cases cost the firms dearly.

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  Going for Gold: Rep. Bachus Wins the Prize for Fuzzy Thinking on RIA SRO

  By Bob Clark, AdvisorOne  |  August 8, 2012

  Congressman Bachus’ WSJ piece on the benefits of an SRO for advisors sets what might be a world record for faulty assumptions, wrong conclusions and inaccuracies.

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  Unconventional Methods

  By Ellen Uzelac  |  February 1, 2012

  What does terrorism possibly have to do with the future of investment management?

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  Fighting Financial Fraud: Stanford University, FINRA Debut Prevention Center

  By Melanie Waddell, AdvisorOne  |  August 17, 2011

  Stanford University’s Center on Longevity and the FINRA Investor Education Foundation recently launched the Research Center on the Prevention of Financial Fraud, an interdisciplinary resource for law enforcement, government and research groups studying financial frauds.