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Regulation & Compliance

PIABA: Ga. Broker’s Conduct Is 'Road Map' for Avoiding Arb Awards
Regulation & Compliance
PIABA: Ga. Broker’s Conduct Is 'Road Map' for Avoiding Arb AwardsPIABA: Ga. Broker’s Conduct Is 'Road Map' for Avoiding Arb Awards

Did a now-defunct IBD avoid FINRA financial judgments by transferring brokers and clients to another firm? Both PIABA and the FSI are weighing in on a case currently brewing in Georgia's federal appeals court.

byPatrick Donachie, Senior Reporter
Aug 22, 2022
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1 Min Read
prison-cell-doors-bars.jpg
Regulation & Compliance
DOJ: California Man Used 'Hundreds' of Advisors in $300M Ponzi SchemeDOJ: California Man Used 'Hundreds' of Advisors in $300M Ponzi Scheme
byPatrick Donachie
Aug 19, 2022
1 Min Read
IRS building
Regulation & Compliance
Want a Better IRS? Simplify the Tax CodeWant a Better IRS? Simplify the Tax Code
byClive Crook
Aug 19, 2022
1 Min Read
Bill Galvin
Regulation & Compliance
Massachusetts Targets Single-Stock ETFs in B/D SweepMassachusetts Targets Single-Stock ETFs in B/D Sweep
byPatrick Donachie
Aug 18, 2022
1 Min Read
green globe investing esg funds
Regulation & Compliance
IAA Fears SEC’s ESG Rules Could Lead to Client ConfusionIAA Fears SEC’s ESG Rules Could Lead to Client Confusion
byPatrick Donachie
Aug 17, 2022
1 Min Read
sec-flag-seal.jpg
Regulation & Compliance
SEC Charges 18 In International Pump-and-Dump SchemeSEC Charges 18 In International Pump-and-Dump Scheme
byPatrick Donachie
Aug 16, 2022
1 Min Read
CFP Board office
Regulation & Compliance
CFP Board Kicks Out Alleged Child Pornographer
CFP Board Kicks Out Alleged Child Pornographer
Aug 12, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
prisonbars.jpg
Regulation & Compliance
Pennsylvania Advisor Sentenced To 5 Years For $7M Scheme
Pennsylvania Advisor Sentenced To 5 Years For $7M Scheme
Aug 10, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
real estate investing
Regulation & Compliance
NASAA Extends Comment Period on Nontraded REITs Guidance
NASAA Extends Comment Period on Nontraded REITs Guidance
Aug 9, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
biotech.jpg
Regulation & Compliance
What Crypto Regulators Can Learn From Biotech
What Crypto Regulators Can Learn From Biotech
Aug 9, 2022
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1 Min Read
byPeter Hans
teflon-board.jpg
Regulation & Compliance
PFAS: How Emerging Regulations and Recent Litigation Are Affecting Buyers, Sellers, and Developers of Real Property
PFAS: How Emerging Regulations and Recent Litigation Are Affecting Buyers, Sellers, and Developers of Real Property
Aug 8, 2022
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1 Min Read
byHeather T. Friedman & Brian A. Remler
eileen-cure-headshot.jpeg
Regulation & Compliance
Former LPL Rep Accused of Racism Sues the IBD for Taking Her Clients
Former LPL Rep Accused of Racism Sues the IBD for Taking Her Clients
Aug 5, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC seal
Regulation & Compliance
SEC Tells Advisors How to Address Conflicts of Interest
SEC Tells Advisors How to Address Conflicts of Interest
Aug 4, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
finra-street.jpg
Regulation & Compliance
Georgia Appeals Court Reverses Decision Alleging 'Secret Agreement' in FINRA Arbitration
Georgia Appeals Court Reverses Decision Alleging 'Secret Agreement' in FINRA Arbitration
Aug 3, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
robinhood-app-phone-2.jpg
Regulation & Compliance
Robinhood Crypto Unit Fined $30M by New York Regulator
Robinhood Crypto Unit Fined $30M by New York Regulator
Aug 2, 2022
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1 Min Read
byAnnie Massa
HPeirce-promo.jpg
Regulation & Compliance
Peirce Warns of Chilling Effect From SEC Settlement on Complex Products
Peirce Warns of Chilling Effect From SEC Settlement on Complex Products
Aug 1, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
businessman with fingers crossed behind back
Regulation & Compliance
Study: Bad Advisor Behavior Persists Under State Insurance Regimes
Study: Bad Advisor Behavior Persists Under State Insurance Regimes
Aug 1, 2022
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1 Min Read
byDiana Britton, Managing Editor
sec-building-closeup-Mark-Wilson-1.jpg
Regulation & Compliance
SEC Finds Identify Theft Programs at J.P. Morgan, UBS, TradeStation Lacking
SEC Finds Identify Theft Programs at J.P. Morgan, UBS, TradeStation Lacking
Jul 28, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
jpmorgan-chase-hq.jpg
Regulation & Compliance
J.P. Morgan Sues Another Former Brokerfor Allegedly Soliciting Clients
J.P. Morgan Sues Another Former Brokerfor Allegedly Soliciting Clients
Jul 28, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
sec-flag-seal.jpg
Regulation & Compliance
SEC Tip Line Was Meant to Stop Another Madoff. Is It Working?
SEC Tip Line Was Meant to Stop Another Madoff. Is It Working?
Jul 27, 2022
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1 Min Read
byJohn Holland
JPMorgan Chase
Regulation & Compliance
JPMorgan Sues Arizona Advisors For Allegedly Soliciting Clients
JPMorgan Sues Arizona Advisors For Allegedly Soliciting Clients
Jul 25, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
sec-building-new.jpg
Regulation & Compliance
Private Advisor Group to Pay $5.8M to Settle SEC Share Class Charges
Private Advisor Group to Pay $5.8M to Settle SEC Share Class Charges
Jul 22, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
Alan Moore Michael Kitces XYPN Live
Regulation & Compliance
XYPN: Colorado Regs Unfairly Add 'Undue Burden' on Subscription Fee Planners
XYPN: Colorado Regs Unfairly Add 'Undue Burden' on Subscription Fee Planners
Jul 21, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
JPMorgan
Regulation & Compliance
J.P. Morgan Accuses Former Broker of Soliciting Firm's Clients
J.P. Morgan Accuses Former Broker of Soliciting Firm's Clients
Jul 20, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
IRI Lobbies Congress To Approve SEC Funding For Reg BI, Form CRS Oversight
IRI Lobbies Congress To Approve SEC Funding For Reg BI, Form CRS Oversight
Jul 19, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
finra
Regulation & Compliance
FINRA Bars Reps For Cheating on Online Qualifying Exams
FINRA Bars Reps For Cheating on Online Qualifying Exams
Jul 13, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
Advisor Found Guilty for Steering Clients Toward Costly UITs
Advisor Found Guilty for Steering Clients Toward Costly UITs
Jul 13, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
sec-building-news-pm-2021.jpg
Regulation & Compliance
Regulators Warn Investors, Advisors on Single-Stock ETFs
Regulators Warn Investors, Advisors on Single-Stock ETFs
Jul 12, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
William Galvin
Regulation & Compliance
Vanguard to Pay $6M Over Target-Date Fund Investigation
Vanguard to Pay $6M Over Target-Date Fund Investigation
Jul 6, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
SEC’s Marketing Rule Remains Top RIA Compliance Concern
SEC’s Marketing Rule Remains Top RIA Compliance Concern
Jul 1, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
DOL building sign
Regulation & Compliance
Staying True to PTE 2020-02
Staying True to PTE 2020-02
Jun 30, 2022
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1 Min Read
byStacy Sizemore
UBS
Regulation & Compliance
UBS Pays $25M To Settle SEC Charges Over Yield Enhancement Strategy
UBS Pays $25M To Settle SEC Charges Over Yield Enhancement Strategy
Jun 29, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA-HQ.jpeg
Regulation & Compliance
Report Finds 'No Evidence' of Secret Agreement Between Wells Fargo, FINRA
Report Finds 'No Evidence' of Secret Agreement Between Wells Fargo, FINRA
Jun 29, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
cfp-board-sign.jpg
Regulation & Compliance
CFP Board Suspends Rep Charged in SEC’s First Reg BI Case
CFP Board Suspends Rep Charged in SEC’s First Reg BI Case
Jun 28, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
Department of Justice seal
Regulation & Compliance
DOJ: Former RIA Sentenced to Six Years in $8M Scheme
DOJ: Former RIA Sentenced to Six Years in $8M Scheme
Jun 24, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter

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