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Regulation & Compliance

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Regulation & Compliance
The Difference Between Asset Management and Wealth ManagementThe Difference Between Asset Management and Wealth Management

They are not the same—just ask Harry Markowitz.

byMichelle Richter
Jun 23, 2022
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1 Min Read
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Regulation & Compliance
RIA in a Box Offers CE Program to Meet NASAA Model Rule MandatesRIA in a Box Offers CE Program to Meet NASAA Model Rule Mandates
byPatrick Donachie
Jun 23, 2022
1 Min Read
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Regulation & Compliance
Hawaii Passes Best Interest Annuity LawHawaii Passes Best Interest Annuity Law
byPatrick Donachie
Jun 22, 2022
1 Min Read
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Regulation & Compliance
SEC Charges Calif. Broker In First Reg BI Violation CaseSEC Charges Calif. Broker In First Reg BI Violation Case
byPatrick Donachie
Jun 16, 2022
1 Min Read
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Regulation & Compliance
North Carolina Passes Annuity Best Interest RuleNorth Carolina Passes Annuity Best Interest Rule
byPatrick Donachie
Jun 15, 2022
1 Min Read
SEC Seal
Regulation & Compliance
SEC Charges New York RIA With Pushing Unregistered SecuritiesSEC Charges New York RIA With Pushing Unregistered Securities
byPatrick Donachie
Jun 13, 2022
1 Min Read
Charles Schwab office
Regulation & Compliance
SEC Fines Schwab $187M To Settle Charges It Misled Clients About Robo's Profits
SEC Fines Schwab $187M To Settle Charges It Misled Clients About Robo's Profits
Jun 13, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
money-gavel
Regulation & Compliance
Advisor Convicted in Ponzi Scheme to Pay $33 Million Fine
Advisor Convicted in Ponzi Scheme to Pay $33 Million Fine
Jun 10, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
SEC Chief Takes Aim at Payment-for-Order Flow in Sweeping Plans for Stock Markets
SEC Chief Takes Aim at Payment-for-Order Flow in Sweeping Plans for Stock Markets
Jun 8, 2022
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1 Min Read
byLydia Beyoud and Katherine Doherty
SEC Headquarters
Regulation & Compliance
SEC: New York Firm Must Pay $1M-Plus for Paltry Fee Rate Disclosures
SEC: New York Firm Must Pay $1M-Plus for Paltry Fee Rate Disclosures
Jun 7, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
SEC ‘Investomania’ Satire on Memes, Crypto Sparks Outrage Online
SEC ‘Investomania’ Satire on Memes, Crypto Sparks Outrage Online
Jun 3, 2022
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1 Min Read
byPaulina Cachero
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Regulation & Compliance
SEC’s ESG Proposals Take Aim at Advisor 'Greenwashing'
SEC’s ESG Proposals Take Aim at Advisor 'Greenwashing'
May 26, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
gamestop redditt stock market meme stocks
Regulation & Compliance
SEC: Broker Falsely Touted Defying Trade Restrictions During 'Meme Stock' Volatility
SEC: Broker Falsely Touted Defying Trade Restrictions During 'Meme Stock' Volatility
May 25, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
SEC: BNY Mellon to Pay $1.5M for ESG Error
SEC: BNY Mellon to Pay $1.5M for ESG Error
May 23, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
NASAA Approves Model Rule Targeting Unpaid Arbitration Awards
NASAA Approves Model Rule Targeting Unpaid Arbitration Awards
May 23, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
wells fargo advisors
Regulation & Compliance
SEC Fines Wells Fargo Advisors $7M for Anti–Money Laundering Lapses
SEC Fines Wells Fargo Advisors $7M for Anti–Money Laundering Lapses
May 20, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
First Republic
Regulation & Compliance
SEC Orders First Republic to Pay $1.8M Over Revenue-Sharing Conflicts
SEC Orders First Republic to Pay $1.8M Over Revenue-Sharing Conflicts
May 19, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
SEC Judges’ Constitutional Cloud Darkens After Appeal Ruling
SEC Judges’ Constitutional Cloud Darkens After Appeal Ruling
May 19, 2022
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1 Min Read
byJennifer Bennett
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Regulation & Compliance
Gensler Seeks SEC Budget Boost for More IA Exams, B/D Compliance
Gensler Seeks SEC Budget Boost for More IA Exams, B/D Compliance
May 18, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
Nearly Two-Thirds of RIAs Have Not Adopted SEC's Marketing Rule
Nearly Two-Thirds of RIAs Have Not Adopted SEC's Marketing Rule
May 17, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
U.S. Department of Labor sign
Regulation & Compliance
DOL to Appeal Texas Court's Decision on Trump-Era Contractor Rule
DOL to Appeal Texas Court's Decision on Trump-Era Contractor Rule
May 17, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Allianz Unit to Plead Guilty, Pay Billions Over Hedge Fund Loss
Allianz Unit to Plead Guilty, Pay Billions Over Hedge Fund Loss
May 17, 2022
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1 Min Read
byBob Van Voris and Stephan Kahl
finra
Regulation & Compliance
PIABA Pushes FINRA For Stronger Complex Product Regs
PIABA Pushes FINRA For Stronger Complex Product Regs
May 11, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA
Regulation & Compliance
FINRA Projects 2022 Drop in Revenue
FINRA Projects 2022 Drop in Revenue
May 10, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
Broker Sentenced for Scheme Targeting Churches
Regulation & Compliance
Broker Sentenced for Scheme Targeting Churches
Broker Sentenced for Scheme Targeting Churches
May 6, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Headquarters
Regulation & Compliance
SEC Nearly Doubles Crypto and Cyber Enforcement Staff
SEC Nearly Doubles Crypto and Cyber Enforcement Staff
May 3, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
Cryptocurrency’s Estimated Draw on World Resources Could Power Bangladesh
Regulation & Compliance
SEC Crypto Team Getting 20 More Officials in Bid to Crack Down
SEC Crypto Team Getting 20 More Officials in Bid to Crack Down
May 3, 2022
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1 Min Read
byLydia Beyoud and Allyson Versprille (Bloomberg)
FINRA: Dual Registrants Outnumber B/D-Only Reps for the First Time
Regulation & Compliance
FINRA: Dual Registrants Outnumber B/D-Only Reps for the First Time
FINRA: Dual Registrants Outnumber B/D-Only Reps for the First Time
May 3, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Headquarters
Regulation & Compliance
SEC: Calif. Advisor Barred for Role in Real Estate Ponzi Scheme
SEC: Calif. Advisor Barred for Role in Real Estate Ponzi Scheme
May 2, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
SEC Charges LPL OSJ for Skirting Trading Fees, Recommending Higher-Cost Funds
SEC Charges LPL OSJ for Skirting Trading Fees, Recommending Higher-Cost Funds
Apr 27, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Headquarters
Regulation & Compliance
SEC Fines NY Firm for Form CRS Lapse
SEC Fines NY Firm for Form CRS Lapse
Apr 25, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
CapWealth 12b-1 Case Moves Closer to Jury Trial
CapWealth 12b-1 Case Moves Closer to Jury Trial
Apr 22, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
cfp-board-sign.jpg
Regulation & Compliance
CFP Board Boosts Annual Fee by $100
CFP Board Boosts Annual Fee by $100
Apr 19, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Former UBS Rep Faces 60 Years in Prison for Stealing Millions
Former UBS Rep Faces 60 Years in Prison for Stealing Millions
Apr 18, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
SEC Limits 'Fiduciary' in Form CRS, Think Tank Argues
SEC Limits 'Fiduciary' in Form CRS, Think Tank Argues
Apr 14, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter

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