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MSRB discusses transparency proposals at quarterly meeting

The MSRB took no concrete actions at its meeting that ended last week, but discussed initiatives important to market participants.

Meredith-hathorn
Mark-kim
Gary-gensler
Robert-cook
Exchange-commission
Financial-industry-regulatory-authority
Municipal-securities-rulemaking-board
Financial-data-transparency-act
Financial-industry-regulatory
Exchange-commission-chair-gary-gensler
Financial-regulations
Washington-dc

FINRA censures but doesn't fine firms due to 'extraordinary cooperation'

The three firms were ordered to pay $515,000 in restitution, but were spared any additional financial penalty.

United-states
America
Financial-industry-regulatory-authority
Plan-share-class-initiative
Royal-alliance
Securities-america
Share-class-initiative
Washington-dc
Finra
Broker-dealers

Financial advisors losing clients over poor communication skills

A new study from YCharts shows which type of financial advisor is best at communicating with clients, along with investors' changing priorities.

Chicago
Illinois
United-states
Merrill-lynch
Raymond-james
Edward-jones
Morgan-stanley
Advisor-group
Wells-fargo
Wall-street
Can-advisors-better-communicate
Advisor-client-relationships

MSRB board meeting to discuss next steps in controversial time of trade proposal

The MSRB's quarterly meeting, set to take place Jan. 25-26, will also include discussion of EMMA modernization efforts and the impacts of the Financial Data Transparency Act.

Financial-industry-regulatory-authority
Municipal-securities-rulemaking-board
Financial-data-transparency-act
Washington-dc
Msrb
Msrb-rules
Broker-dealers

Proposed Regulation Best Execution: SEC Considers Market Structure Shakeup | Morgan Lewis

The US Securities and Exchange Commission (SEC) proposed Regulation Best Execution (Proposal or Proposed Regulation Best Execution) under the Securities and Exchange Act of 1934.

Exchange-commission
Regulation-best-execution
Proposed-regulation-best-execution
Exchange-act
Broker-dealers
Equity-market-proposals

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