law

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  Saving the Family Enterprise: How to Keep Life in an Old Firm

  By Joyce Hanson, AdvisorOne  |  March 25, 2013

  "You have families with benign dictators, but what you want is a republic that’s organic and based on merit," says Hemenway & Barnes partner Fred Marx.

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  Top 25 401(k)s for NYC-Based Companies: Where Are the Big Banks?

  By Joyce Hanson, AdvisorOne  |  March 22, 2013

  Say goodbye to BlackRock, Goldman Sachs, Morgan Stanley and other finance giants—this year's list of the best plans is seriously competitive.

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  SEC Enforcement Roundup: CR Intrinsic Slapped With Record Insider Trading Fine

  By Marlene Y. Satter, AdvisorOne  |  March 21, 2013

  The SEC settlement by CR Intrinsic was for $600 million, the largest ever in an insider trading case; meanwhile, a financier was charged in a scam involving pre-IPO Facebook stock.

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  FINRA Fines Jump in Suitability, Due Diligence

  By Melanie Waddell, AdvisorOne  |  March 14, 2013

  Fines issued by FINRA last year totaled $78.2 million, a 15% jump from the $68 million levied in 2011, according to the law firm Sutherland Asbill & Brennan.

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  SEC, FINRA Enforcement Roundup: 31 NFL Players Bilked by Broker’s Casino Deal

  By Marlene Y. Satter, AdvisorOne  |  March 7, 2013

  FINRA and the SEC recently acted on issues that included the fleecing of 31 NFL players via high-risk casino securities and a rep who conducted a Ponzi scheme under his firm’s nose.

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  3 Issues That Will Dominate DOL Fiduciary Debate

  By Melanie Waddell, AdvisorOne  |  February 28, 2013

  Pay close attention to three areas of the DOL’s reproposed fiduciary rule once it’s released in July, says Brad Campbell, former head of EBSA.

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  NY Times: Down With Shareholder Democracy

  By John Sullivan, AdvisorOne  |  February 26, 2013

  Recent controversies involving Herbalife and Apple could be related to abuses aided by the shareholder democracy movement, according to The New York Times.

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  Top Regulators to Testify on Dodd-Frank Progress

  By Melanie Waddell, AdvisorOne  |  February 11, 2013

  The nation’s top financial regulators will testify before the Senate Banking Committee on Thursday regarding the progress of the Dodd-Frank Act.

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  Obama Names Mary Jo White New SEC Chief

  By Melanie Waddell, AdvisorOne  |  January 24, 2013

  President Obama on Thursday named Mary Jo White as the new chairwoman of the SEC, taking over from Elisse Walter.

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  SIFMA CEO Tim Ryan Leaves for JPMorgan

  By Melanie Waddell, AdvisorOne  |  January 8, 2013

  Tim Ryan, SIFMA president and CEO, resigned Tuesday after being named global head of regulatory policy and strategy at JPMorgan Chase.