11/03/2016
The SEC traditionally has not viewed issuers of securities, such as hedge funds and private equity funds, as broker-dealers.
11/03/2016
Ticket Reserve ran into financial difficulties and relied on infusions from Narayan’s clients to stay afloat, in return for which the advisor received close to $2 million in finder’s fees from the firm, according to the regulator.
10/30/2016
Morgan Stanley, Ameriprise Financial, Raymond James and others announced whether they will retain commissions under new regulations.