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Regulation & Compliance

coinbase SEC lawsuit
Regulation & Compliance
Coinbase Says SEC Is Close to Dismissing Enforcement CaseCoinbase Says SEC Is Close to Dismissing Enforcement Case

The decision is the latest retreat from the policies of former SEC Chair Gary Gensler, who officials in the crypto industry complained had sought to regulate the industry through enforcement actions.

byOlga Kharif, Sonali Basak
Feb 21, 2025
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1 Min Read
SEC building 2021 cybersecurity fraud cryptocurencies SEC
Regulation & Compliance
SEC Replaces Crypto Enforcement Team with Smaller ‘Cyber’ UnitSEC Replaces Crypto Enforcement Team with Smaller ‘Cyber’ Unit
byNicola M. White
Feb 20, 2025
1 Min Read
James Arthur McDonald FBI guilty plea
Regulation & Compliance
Advisor, CNBC Analyst Pleads Guilty to Conning ClientsAdvisor, CNBC Analyst Pleads Guilty to Conning Clients
byPatrick Donachie
Feb 20, 2025
1 Min Read
FINRA HQ
Regulation & Compliance
Broker Claims FINRA’s Testimony Demands Violate Constitutional RightsBroker Claims FINRA’s Testimony Demands Violate Constitutional Rights
byPatrick Donachie
Feb 18, 2025
1 Min Read
Department of Labor sign DOL fiduciary rule
Regulation & Compliance
DOL Puts Fiduciary Rule on HoldDOL Puts Fiduciary Rule on Hold
byDiana Britton, Moderator
Feb 14, 2025
1 Min Read
globe data stock market
WealthTech
The Data Demands for Cross-Border Wealth Management InnovationsThe Data Demands for Cross-Border Wealth Management Innovations
byAshley Longabaugh
Feb 13, 2025
1 Min Read
iphone imessage text messaging
Client Relations
Left on Read: The Cost of Ignoring iMessage Compliance
The Cost of Ignoring iMessage Compliance
Feb 13, 2025
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1 Min Read
byHarriet Christie, Harriet Christie, Chief Operating Officer, MirrorWeb
CFPB office HQ
Regulation & Compliance
CFPB Disarray Puts Future Fintech, Bank Oversight Into Question
CFPB Disarray Puts Future Fintech, Bank Oversight Into Question
Feb 12, 2025
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1 Min Read
byPaige Smith
Acting SEC Chair Mark Uyeda
Regulation & Compliance
Acting SEC Chairman Pauses Legal Defense of Climate Rule
Acting SEC Chairman Pauses Legal Defense of Climate Rule
Feb 11, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
U.S. Supreme Court building
Regulation & Compliance
Broker Uses Recent Supreme Court Decisions In Case Against FINRA
Broker Uses Recent Supreme Court Decisions In Case Against FINRA
Feb 10, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
CFP Board CEO Kevin Keller
Career Moves
CFP Board CEO Kevin Keller To Retire
CFP Board CEO Kevin Keller To Retire
Feb 6, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
Regulation & Compliance
FINRA Fines Apex Clearing $3.2M for Securities Lending Violations
FINRA Fines Apex Clearing $3.2M for Securities Lending Violations
Feb 4, 2025
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1 Min Read
byDiana Britton, Moderator, Managing Editor
US Capitol
Regulation & Compliance
B/D, Advisor Advocate Coalition to Push Congress To Reform Pass-Through Tax Deduction
B/D, Advisor Advocate Coalition to Push Congress To Reform Pass-Through Tax Deduction
Jan 31, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
Fidelity Investments
Regulation & Compliance
Investors File Claim Against Fidelity Over Lax Supervision of RIA
Investors File Claim Against Fidelity Over Lax Supervision of RIA
Jan 30, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
U.S. Rep. Lori Chavez-DeRemer is President Donald Trump's nominee for DOL secretary.
Regulation & Compliance
Broker Advocates Uncertain About Trump’s Labor Secretary Choice
Broker Advocates Uncertain About Trump’s Labor Secretary Choice
Jan 28, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
Hightower office
RIA
Judge Voids Hightower Non-Compete Against Former Advisor
Judge Voids Hightower Non-Compete Against Former Advisor
Jan 28, 2025
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1 Min Read
byDiana Britton, Moderator, Managing Editor
SEC building seal
Regulation & Compliance
Arete Wealth Fights Back on SEC Charges
Arete Wealth Fights Back on SEC Charges
Jan 24, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
Acting SEC Chair Mark Uyeda
Regulation & Compliance
New Acting SEC Chair Uyeda Launches Crypto Task Force
New Acting SEC Chair Uyeda Launches Crypto Task Force
Jan 21, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
SEC Charges Arete Wealth, Part of Final Rush of Pre-Trump Actions
SEC Charges Arete Wealth, Part of Final Rush of Pre-Trump Actions
Jan 21, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
SEC Charges Pennsylvania Advisor Who Used Client Funds on Country Club Dues
SEC Charges Pennsylvania Advisor Who Used Client Funds on Country Club Dues
Jan 17, 2025
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1 Min Read
byDiana Britton, Moderator, Managing Editor
Vanguard Group company sign
Retirement
Vanguard to Pay $106M Over Retirement Fund Violations
Vanguard to Pay $106M Over Retirement Fund Violations
Jan 17, 2025
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1 Min Read
sec-seal-new.jpg
Regulation & Compliance
Wells Fargo, Merrill Lynch Pay $60M to Settle Cash Sweep Charges
Wells Fargo, Merrill Lynch Pay $60M to Settle Cash Sweep Charges
Jan 17, 2025
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1 Min Read
byDiana Britton, Moderator, Managing Editor
LPL Financial
Regulation & Compliance
LPL Financial Hit with Anti-Money Laundering Violations
LPL Financial Hit with Anti-Money Laundering Violations
Jan 17, 2025
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1 Min Read
byDavid Bodamer, Executive Editor, Investments
Charles Schwab
Regulation & Compliance
Schwab, Blackstone Among Firms Paying $63M To Settle SEC Texting Charges
Schwab, Blackstone Among Firms Paying $63M To Settle SEC Texting Charges
Jan 13, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
robinhood-app.jpg
Regulation & Compliance
Robinhood to Pay $45M to Settle SEC Claims
Robinhood to Pay $45M to Settle SEC Claims
Jan 13, 2025
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1 Min Read
edward jones
Regulation & Compliance
Edward Jones Will Pay $17M to Settle State Regulators’ Investigation
Edward Jones Will Pay $17M to Settle State Regulators’ Investigation
Jan 8, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
Cetera Advisor Networks President Tim Stinson FSI Chair
Regulation & Compliance
Cetera President Begins Term as FSI Board Chair
Cetera President Begins Term as FSI Board Chair
Jan 8, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
sec-seal-new.jpg
Regulation & Compliance
SEC: California RIA's 'Portfolio Shield' Performance Claim Violated Marketing Rules
SEC: California RIA's 'Portfolio Shield' Performance Claim Violated Marketing Rules
Jan 3, 2025
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1 Min Read
byDiana Britton, Moderator, Managing Editor
ACA Group President Carlo di Florio
Regulation & Compliance
2025 Outlook Q&A: Industry Regulation to Focus on Digital Assets
2025 Outlook Q&A: Industry Regulation to Focus on Digital Assets
Dec 26, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
department of labor
Regulation & Compliance
2024 Year in Review: Another New Fiduciary Rule
2024 Year in Review: Another New Fiduciary Rule
Dec 26, 2024
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9 Slides
byWealthManagement.com Staff
FINRA Fines Edward Jones, Osaic, Cambridge $8.2M to Settle Mutual Fund Fee Charges
Regulation & Compliance
FINRA Fines Edward Jones, Osaic, Cambridge $8.2M to Settle Mutual Fund Fee Charges
FINRA Fines Edward Jones, Osaic, Cambridge $8.2M to Settle Mutual Fund Fee Charges
Dec 20, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
computer data AI
Regulation & Compliance
Five Tips to Speed Up Compliance
Five Tips to Speed Up Compliance
Dec 17, 2024
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1 Min Read
Paul Atkins
Regulation & Compliance
How Paul Atkins Could Move SEC’s Enforcement Spotlight from Firms to Individuals
How Paul Atkins Could Move SEC’s Enforcement Spotlight from Firms to Individuals
Dec 16, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC seal
Regulation & Compliance
SEC Charges Former Advisor with Cherry-Picking
SEC Charges Former Advisor with Cherry-Picking
Dec 13, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC seal building Washington DC
Regulation & Compliance
SEC: Fraudsters Used Fake Websites, Voice Software to Impersonate Reps
SEC: Fraudsters Used Fake Websites, Voice Software to Impersonate Reps
Dec 11, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter

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