NASD

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  New Hire Roundup: Christian Brothers Appoints Four

  By Marlene Y. Satter, AdvisorOne  |  March 27, 2013

  This week in new hires, Christian Brothers Investment Services announced four key appointments, and American Century welcomed Joseph Schultz.

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  SEC, FINRA Enforcement Roundup: Phony Broker Charged for Soliciting $500M

  By Marlene Y. Satter, AdvisorOne  |  March 14, 2013

  Among recent actions by the SEC and FINRA were charges against a private equity firm, a former executive and an unregistered broker over some $500 million in improper investment solicitations.

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  FINRA Goes for Round Two on Membership Rule Changes

  By Melanie Waddell, AdvisorOne  |  February 21, 2013

  FINRA plans to issue a revised proposal on membership requirements after the self-regulator received pushback from the industry during its first attempt.

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  FINRA Seeks Second Round of Comments on Markups, Commissions Plan

  By Melanie Waddell, AdvisorOne  |  February 5, 2013

  After being deluged with comments against its plan to end a 5% threshold on commissions and markups, FINRA is giving broker-dealers yet another chance to weigh in.

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  13 Ex-Football Players and Finance: The Good & the Bad

  By Dan Berman, AdvisorOne  |  January 24, 2013

  After success of varying degrees in the NFL or college football, nine former players took the high road and four others the very low road.

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  Top 7 Biggest Bank Fines

  By Dan Berman, AdvisorOne  |  January 11, 2013

  AdvisorOne finds that all of the biggest bank penalties have been levied in the last 10 years, with most of them since the financial crisis started in 2008.

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  FINRA Updates Guidance on Communications With Public

  By Melanie Waddell, AdvisorOne  |  January 8, 2013

  FINRA released in early January an updated set of questions and answers on its new rule on communications with the public.

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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.

• The Jaws of Defeat

  By Bob Clark, AdvisorOne  |  December 21, 2012

  Taking time out over the holidays to reflect on the past year has become one of my favorite exercises.

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  Obama Names SEC’s Walter as Schapiro’s Replacement

  By Melanie Waddell, AdvisorOne  |  November 26, 2012

  While Elisse Walter, an SEC commissioner, was selected by President Obama to succeed Schapiro, industry officials speculated that Walter will serve as an acting chairman until the president selects a permanent chairman at a later date.