Regulation and Compliance issues for Wealth Professionals can be challenging to navigate especially when the SEC is involved. Catch the latest news and analysis on compliance updates that impact financial advisors.
The seven advisors collectively had about $1.2 billion in managed assets, according to the Wells Fargo Advisors' suit against former in-house counsel Steven Satter, who joined his colleagues at the independent firm.
NASAA's annual enforcement report charted the continued problem of promissory note fraud, and the rise of interest in the metaverse in the securities markets.
In a newly released risk alert, the commission’s Division of Examinations highlighted potential areas of focus for the rule, which has a Nov. 4 compliance date.
Shawn Everett Good faces up to 30 years in prison after pleading guilty to charges of wire fraud and money laundering, according to the Department of Justice.
For weeks, federal regulators have been been peppering Goldman management with questions and follow-ups regarding its online-banking platform aimed at retail customers.
SEC Chairman Gary Gensler discussed his views on cryptocurrencies, agency resources and the commission’s proposed rule for climate risk disclosures for issuers during testimony before the Senate Banking Committee.
