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Regulation & Compliance

U.S. Supreme Court building
Regulation & Compliance
Broker Uses Recent Supreme Court Decisions In Case Against FINRABroker Uses Recent Supreme Court Decisions In Case Against FINRA

An attorney representing Frank Black in his case against FINRA believes the issue of whether the self-regulatory organization’s enforcement proceedings are constitutional could hit the Supreme Court within the next several years.

byPatrick Donachie, Senior Reporter
Feb 10, 2025
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1 Min Read
CFP Board CEO Kevin Keller
Career Moves
CFP Board CEO Kevin Keller To RetireCFP Board CEO Kevin Keller To Retire
byPatrick Donachie
Feb 6, 2025
1 Min Read
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Regulation & Compliance
FINRA Fines Apex Clearing $3.2M for Securities Lending ViolationsFINRA Fines Apex Clearing $3.2M for Securities Lending Violations
byDiana Britton
Feb 4, 2025
1 Min Read
US Capitol
Regulation & Compliance
B/D, Advisor Advocate Coalition to Push Congress To Reform Pass-Through Tax DeductionB/D, Advisor Advocate Coalition to Push Congress To Reform Pass-Through Tax Deduction
byPatrick Donachie
Jan 31, 2025
1 Min Read
Fidelity Investments
Regulation & Compliance
Investors File Claim Against Fidelity Over Lax Supervision of RIAInvestors File Claim Against Fidelity Over Lax Supervision of RIA
byPatrick Donachie
Jan 30, 2025
1 Min Read
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 ChoiceBroker Advocates Uncertain About Trump’s Labor Secretary Choice
byPatrick Donachie
Jan 28, 2025
1 Min Read
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, 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, 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, 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, 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
morgan stanley
Regulation & Compliance
Morgan Stanley Fined $15 Million by SEC Over Adviser Theft
Morgan Stanley Fined $15 Million by SEC Over Adviser Theft
Dec 10, 2024
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1 Min Read
byNicola M. White
Paul Atkins
Regulation & Compliance
Trump Picks Atkins, Ex-SEC Commissioner, to Succeed Gensler
Trump Picks Atkins, Ex-SEC Commissioner, to Succeed Gensler
Dec 4, 2024
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1 Min Read
byLydia Beyoud, Nicola M. White
Paul Atkins
Regulation & Compliance
Trump Team Eyes Atkins, Ex-SEC Commissioner, to Succeed Gensler
Trump Team Eyes Atkins, Ex-SEC Commissioner, to Succeed Gensler
Dec 2, 2024
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1 Min Read
+2
byLydia Beyoud, Saleha Mohsinand 2 more
finra-street.jpg
Regulation & Compliance
FINRA Says It Can 'Address' Court's Demands in SEC Oversight Ruling
FINRA Says It Can 'Address' Court's Demands in SEC Oversight Ruling
Nov 26, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
Ken Leech Western Asset Management
RIA
Ken Leech Sued by SEC Over Alleged ‘Cherry-Picking’ Scheme
Ken Leech Sued by SEC Over Alleged ‘Cherry-Picking’ Scheme
Nov 25, 2024
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1 Min Read
+1
byChris Dolmetsch, Ava Benny-Morrisonand 1 more
SEC Seal
Regulation & Compliance
SEC Charges Former Advisor With Cherry-Picking Trades
SEC Charges Former Advisor With Cherry-Picking Trades
Nov 25, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA
Regulation & Compliance
FINRA Is Dealt a Blow by Court in Its Power to Expel Brokerages
FINRA Is Dealt a Blow by Court in Its Power to Expel Brokerages
Nov 22, 2024
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1 Min Read
bySabrina Willmer
The WealthStack Podcast Alec Crawford AI Risk
WealthTech
The WealthStack Podcast: The Future of AI Security with Alec Crawford
The WealthStack Podcast: The Future of AI Security with Alec Crawford
Nov 22, 2024
byShannon Rosic - Moderator, Director of WealthStack Content and Solutions
SEC Chair Gary Gensler
Regulation & Compliance
SEC Chair Gary Gensler to Depart on Trump’s Inauguration Day
SEC Chair Gary Gensler to Depart on Trump’s Inauguration Day
Nov 21, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter

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