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Regulation & Compliance

SEC Chair Gary Gensler
Regulation & Compliance
SEC's Vision for Competition in Markets Would Stifle InnovationSEC's Vision for Competition in Markets Would Stifle Innovation

We are living in an era of radical new financial concepts, and cookie-cutter regulation only reduces choices by investors, businesses and intermediaries.

byAaron Brown
Nov 2, 2022
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1 Min Read
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Regulation & Compliance
Gensler’s Warning to Market Players: SEC’s Crackdown Is Just Getting StartedGensler’s Warning to Market Players: SEC’s Crackdown Is Just Getting Started
byLydia Beyoud
Nov 2, 2022
1 Min Read
courtroom judge bench
Regulation & Compliance
RIA CapWealth Wins Legal Battle With SEC Over 12b-1 DisclosuresRIA CapWealth Wins Legal Battle With SEC Over 12b-1 Disclosures
byPatrick Donachie
Nov 1, 2022
1 Min Read
sec-building-news-pm-2021.jpg
Regulation & Compliance
SEC Wants a Higher Hurdle for RIAs’ Use of Third PartiesSEC Wants a Higher Hurdle for RIAs’ Use of Third Parties
byDiana Britton
Oct 26, 2022
1 Min Read
Cetera financial
Regulation & Compliance
Cetera Firms Ordered to Pay $9M for Share Class ViolationsCetera Firms Ordered to Pay $9M for Share Class Violations
byDiana Britton
Oct 25, 2022
1 Min Read
SEC building
Regulation & Compliance
SEC Claims Deceased Advisors’ Ponzi Scheme Continues To Cheat InvestorsSEC Claims Deceased Advisors’ Ponzi Scheme Continues To Cheat Investors
byPatrick Donachie
Oct 18, 2022
1 Min Read
keith-springer.jpg
Regulation & Compliance
SEC Bars California Advisor for Defrauding Hundreds of Retail Clients
SEC Bars California Advisor for Defrauding Hundreds of Retail Clients
Oct 17, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA Suspends Rep in First Reg BI-Related Action
Regulation & Compliance
FINRA Suspends Rep in First Reg BI-Related Action
FINRA Suspends Rep in First Reg BI-Related Action
Oct 12, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
William Galvin
Regulation & Compliance
Galvin Accuses RIA of Failing to Supervise Risky ETF Recommendations
Galvin Accuses RIA of Failing to Supervise Risky ETF Recommendations
Oct 12, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
marty-walsh-dol.jpg
Regulation & Compliance
DOL Proposes New Independent Contractor Rule
DOL Proposes New Independent Contractor Rule
Oct 11, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
murder money gun
Regulation & Compliance
Texas Advisor Found Guilty in Plot That Led to Client’s Murder
Texas Advisor Found Guilty in Plot That Led to Client’s Murder
Oct 6, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
whatsapp-notification.jpg
Regulation & Compliance
$1.1B WhatsApp Fine a 'Shot Across the Bow'
$1.1B WhatsApp Fine a 'Shot Across the Bow'
Sep 30, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
WhatsApp logo
Regulation & Compliance
SEC Fines Firms $1.1B for WhatsApp, Texting Record-Keeping Failures
SEC Fines Firms $1.1B for WhatsApp, Texting Record-Keeping Failures
Sep 27, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
Phyllis Borzi
Regulation & Compliance
DOL Alum Expects Latest Fiduciary Rule Update Will Be Pushed Back
DOL Alum Expects Latest Fiduciary Rule Update Will Be Pushed Back
Sep 23, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
james-mcdonald-hercules-investments.jpg
Regulation & Compliance
Hercules CEO, CNBC Pundit 'In Hiding' Amid Securities Fraud Charges
Hercules CEO, CNBC Pundit 'In Hiding' Amid Securities Fraud Charges
Sep 22, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
gary-gensler-2021.jpg
Regulation & Compliance
SEC Set to Let Wall Street Keep Payment-for-Order-Flow Deals
SEC Set to Let Wall Street Keep Payment-for-Order-Flow Deals
Sep 22, 2022
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1 Min Read
byLydia Beyoud and Katherine Doherty
sec-building-closeup-Mark-Wilson-1.jpg
Regulation & Compliance
The SEC's New Marketing Rule Explained
The SEC's New Marketing Rule Explained
Sep 22, 2022
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1 Min Read
byHarriet Christie
Wells Fargo
Regulation & Compliance
Wells Fargo Sues Company Attorney For Plotting Launch of RIA With Wirehouse Colleagues
Wells Fargo Sues Company Attorney For Plotting Launch of RIA With Wirehouse Colleagues
Sep 21, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
Cryptocurrency’s Estimated Draw on World Resources Could Power Bangladesh
Regulation & Compliance
NASAA Report Finds Digital Asset Fraud Investigations Up 70%
NASAA Report Finds Digital Asset Fraud Investigations Up 70%
Sep 21, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
Morgan Stanley
Regulation & Compliance
Morgan Stanley Pays $35M SEC Fine Over Data Security
Morgan Stanley Pays $35M SEC Fine Over Data Security
Sep 20, 2022
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1 Min Read
SEC Seal
Regulation & Compliance
SEC Examiners to Look for 'Reasonably Designed' Policies Under New Marketing Rules
SEC Examiners to Look for 'Reasonably Designed' Policies Under New Marketing Rules
Sep 19, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
open-jail-door.jpg
Regulation & Compliance
Former Morgan Stanley Advisor Pleads Guilty to $7M Ponzi Scheme
Former Morgan Stanley Advisor Pleads Guilty to $7M Ponzi Scheme
Sep 16, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Chair Gary Gensler
Regulation & Compliance
Toomey To Gensler: Congress Should 'Step In' On Crypto Regs
Toomey To Gensler: Congress Should 'Step In' On Crypto Regs
Sep 15, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
Big Data A Lesson from the Baseball Diamond
Regulation & Compliance
SEC: California Advisor Stole More Than $730K From MLB Player
SEC: California Advisor Stole More Than $730K From MLB Player
Sep 14, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
future-proof-compliance.jpg
Regulation & Compliance
Can Compliance Be a Revenue Generator?
Can Compliance Be a Revenue Generator?
Sep 13, 2022
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1 Min Read
byDiana Britton, Managing Editor
SEC building
Regulation & Compliance
Florida Rep to Pay $1.2M to Settle ETF Cherry-Picking Charges With the SEC
Florida Rep to Pay $1.2M to Settle ETF Cherry-Picking Charges With the SEC
Sep 13, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA Arbitrators Demand Oppenheimer & Co. Pay $35M+ Award
Regulation & Compliance
FINRA Arbitrators Demand Oppenheimer & Co. Pay $35M+ Award
FINRA Arbitrators Demand Oppenheimer & Co. Pay $35M+ Award
Sep 7, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
IRS building
Regulation & Compliance
IRS Mistakenly Published Some Taxpayers’ Confidential Data
IRS Mistakenly Published Some Taxpayers’ Confidential Data
Sep 6, 2022
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1 Min Read
byLaura Davison
cfp-board-sign.jpg
Regulation & Compliance
CFP Board Permanently Bars Advisor Accused of Child Porn, Announces Dozens of Other Sanctions
CFP Board Permanently Bars Advisor Accused of Child Porn, Announces Dozens of Other Sanctions
Sep 6, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
CFP Board office
Regulation & Compliance
CFP Board Vacates Suspension of Former UBS Advisor
CFP Board Vacates Suspension of Former UBS Advisor
Sep 2, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
DOL Orders Wells Fargo to Pay $22M for Retaliation Against Whistleblower
Regulation & Compliance
DOL Orders Wells Fargo to Pay $22M for Retaliation Against Whistleblower
DOL Orders Wells Fargo to Pay $22M for Retaliation Against Whistleblower
Sep 1, 2022
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1 Min Read
byWealthManagement.com Staff
prisonbars.jpg
Regulation & Compliance
Former Wisconsin Advisor Gets 84 Months in Prison for Fraud
Former Wisconsin Advisor Gets 84 Months in Prison for Fraud
Aug 26, 2022
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1 Min Read
byDiana Britton, Managing Editor
FINRA
Regulation & Compliance
Is a Great FINRA Purge Coming?
Is a Great FINRA Purge Coming?
Aug 26, 2022
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1 Min Read
byDiana Britton, Managing Editor
finra
Regulation & Compliance
FINRA Charges Kovack for Failing to Supervise Rep's Short-Term Trades
FINRA Charges Kovack for Failing to Supervise Rep's Short-Term Trades
Aug 25, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
tug of war
Regulation & Compliance
Who Owns Your Investment Performance?
Who Owns Your Investment Performance?
Aug 24, 2022
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1 Min Read
byDiana Britton, Managing Editor

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