Sponsored By

Regulation & Compliance

Maryland State House
Regulation & Compliance
Maryland Adopts Best Interest Annuity RuleMaryland Adopts Best Interest Annuity Rule

The state became the 22nd to adopt a rule based on the NAIC’s model, joining the likes of South Dakota, New Mexico and Pennsylvania.

byPatrick Donachie, Senior Reporter
Apr 12, 2022
|
1 Min Read
sec-building-news-pm-2021.jpg
Regulation & Compliance
Time for a Form CRS Tune-Up?Time for a Form CRS Tune-Up?
byEd McCarthy
Apr 12, 2022
1 Min Read
SEC Chair Gary Gensler
Regulation & Compliance
Gensler Pushed by Industry for More Time to Comment on SEC PlansGensler Pushed by Industry for More Time to Comment on SEC Plans
byGillian Tan
Apr 11, 2022
1 Min Read
Wells Fargo
Regulation & Compliance
Wells Fargo: There Is No Secret FINRA AgreementWells Fargo: There Is No Secret FINRA Agreement
byPatrick Donachie
Apr 7, 2022
1 Min Read
us-capitol-dome-flag.jpg
Regulation & Compliance
The Risks of the 'No-Stock' ActThe Risks of the 'No-Stock' Act
byRobert Rizzi
Apr 5, 2022
1 Min Read
doj-seal-big.jpg
Regulation & Compliance
DOJ: Rochester Man to Serve 10 Years for Role in $115M Ponzi SchemeDOJ: Rochester Man to Serve 10 Years for Role in $115M Ponzi Scheme
byPatrick Donachie
Apr 4, 2022
1 Min Read
SEC building
Regulation & Compliance
What Advisors Need to Know About the SEC’s Climate Risk Disclosures
What Advisors Need to Know About the SEC’s Climate Risk Disclosures
Apr 4, 2022
|
1 Min Read
byEmma Smith and Alex Acosta
FINRA
Regulation & Compliance
Decade-Old Dustup Continues to Haunt FINRA
Decade-Old Dustup Continues to Haunt FINRA
Apr 1, 2022
|
1 Min Read
byPatrick Donachie, Senior Reporter
Barclays-Getty Images.jpg
Regulation & Compliance
Barclays to Take £450 Million Hit on ‘Bizarre’ Bond Blunder
Barclays to Take £450 Million Hit on ‘Bizarre’ Bond Blunder
Mar 31, 2022
|
1 Min Read
byStefania Spezzati and Tom Metcalf
SEC Seal
Regulation & Compliance
SEC Bars Another Advisor in 1 Global Securities Scam
SEC Bars Another Advisor in 1 Global Securities Scam
Mar 31, 2022
|
1 Min Read
byPatrick Donachie, Senior Reporter
SEC seal
Regulation & Compliance
SEC Plans to Curb Bullish SPAC Forecasts and Add More Disclosures
SEC Plans to Curb Bullish SPAC Forecasts and Add More Disclosures
Mar 30, 2022
|
1 Min Read
byMatt Robinson
SEC Chair Gary Gensler
Regulation & Compliance
Wall Street Brokers Are Put on Notice by SEC Over Conduct Rules
Wall Street Brokers Are Put on Notice by SEC Over Conduct Rules
Mar 30, 2022
|
1 Min Read
byBen Bain
FINRA Bans Utah Brokerage, Orders It to Pay $2.3M in Restitution
Regulation & Compliance
FINRA Bans Utah Brokerage, Orders It to Pay $2.3M in Restitution
FINRA Bans Utah Brokerage, Orders It to Pay $2.3M in Restitution
Mar 25, 2022
|
1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
SEC Wins Rare Jury Trial Against RIA Over Share Class Shortfalls
SEC Wins Rare Jury Trial Against RIA Over Share Class Shortfalls
Mar 24, 2022
|
1 Min Read
byPatrick Donachie, Senior Reporter
sec-building-closeup-Mark-Wilson-1.jpg
Regulation & Compliance
SEC to Require Climate-Change Risk Disclosures Under New Plan
SEC to Require Climate-Change Risk Disclosures Under New Plan
Mar 21, 2022
|
1 Min Read
byBen Bain, Robert Schmidt and Saijel Kishan
William Galvin
Regulation & Compliance
Galvin Pushes Brokers on Interest Rates and Sweep Accounts
Galvin Pushes Brokers on Interest Rates and Sweep Accounts
Mar 17, 2022
|
1 Min Read
byPatrick Donachie, Senior Reporter
U.S. Department of Labor sign
Regulation & Compliance
Pressure Mounts on DOL for Fiduciary Rule Updates
Pressure Mounts on DOL for Fiduciary Rule Updates
Mar 16, 2022
|
1 Min Read
byPatrick Donachie, Senior Reporter
finra
Regulation & Compliance
FINRA Fines Jump 60% in 2021 Even As Case Numbers Dip
FINRA Fines Jump 60% in 2021 Even As Case Numbers Dip
Mar 11, 2022
|
1 Min Read
byPatrick Donachie, Senior Reporter
handcuffs money
Regulation & Compliance
Ohio Advisor Convicted for Role in $9.3M Ponzi Scheme
Ohio Advisor Convicted for Role in $9.3M Ponzi Scheme
Mar 10, 2022
|
1 Min Read
byPatrick Donachie, Senior Reporter
Department of Justice seal
Regulation & Compliance
DOJ Accuses Former Trump Fundraiser of $6.8 Million Ponzi Scheme
DOJ Accuses Former Trump Fundraiser of $6.8 Million Ponzi Scheme
Mar 9, 2022
|
1 Min Read
byPatrick Donachie, Senior Reporter
FINRA-HQ.jpeg
Regulation & Compliance
What Advisors Need to Know about FINRA’s ‘Maintaining Qualifications Program’
What Advisors Need to Know about FINRA’s ‘Maintaining Qualifications Program’
Mar 9, 2022
|
1 Min Read
byStacy Sizemore
60-wall-street-deutsche-bank.jpg
Regulation & Compliance
Deutsche Bank Fined $2M Over Dark Pool Routing Lapses
Deutsche Bank Fined $2M Over Dark Pool Routing Lapses
Mar 8, 2022
|
1 Min Read
byMatt Robinson
Cambridge Investment Research
Regulation & Compliance
SEC Charges Cambridge RIA With Revenue-Sharing Conflicts
SEC Charges Cambridge RIA With Revenue-Sharing Conflicts
Mar 4, 2022
|
1 Min Read
byPatrick Donachie, Senior Reporter
joe-biden-state-union.jpg
Regulation & Compliance
FSI Decries PRO Act Push in State of the Union
FSI Decries PRO Act Push in State of the Union
Mar 3, 2022
|
1 Min Read
byPatrick Donachie, Senior Reporter
new-mexico-road-sign.jpg
Regulation & Compliance
New Mexico Becomes 20th State to Adopt Best Interest Annuity Rule
New Mexico Becomes 20th State to Adopt Best Interest Annuity Rule
Mar 2, 2022
|
1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
Ameritas Settles SEC Charges Related to Revenue-Sharing Violations
Ameritas Settles SEC Charges Related to Revenue-Sharing Violations
Feb 28, 2022
|
1 Min Read
byPatrick Donachie, Senior Reporter
SEC Headquarters
Regulation & Compliance
SEC: Former Ameriprise Advisor Involved in Crypto Scam
SEC: Former Ameriprise Advisor Involved in Crypto Scam
Feb 25, 2022
|
1 Min Read
byPatrick Donachie, Senior Reporter
Pennsylvania_statehouse.jpg
Regulation & Compliance
Pennsylvania Passes Best Interest Annuity Rule
Pennsylvania Passes Best Interest Annuity Rule
Feb 24, 2022
|
1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
SEC Fines 12 More Firms for Form CRS Lapses
SEC Fines 12 More Firms for Form CRS Lapses
Feb 15, 2022
|
1 Min Read
byPatrick Donachie, Senior Reporter
department of labor
Regulation & Compliance
What PTE 2020-02 Means for Advisors
What PTE 2020-02 Means for Advisors
Feb 14, 2022
|
1 Min Read
byJohn Faustino
sec seal
Regulation & Compliance
BlockFi to Pay $100 Million to SEC, States on Crypto Lending
BlockFi to Pay $100 Million to SEC, States on Crypto Lending
Feb 14, 2022
|
1 Min Read
byMatt Robinson and Joe Light
gavel
Regulation & Compliance
Judge Finds California Advisor Liable for Stealing $2.2M
Judge Finds California Advisor Liable for Stealing $2.2M
Feb 14, 2022
|
1 Min Read
byPatrick Donachie, Senior Reporter
woman-road-map.jpg
Regulation & Compliance
An Essential Roadmap for TAMP Users
An Essential Roadmap for TAMP Users
Feb 14, 2022
|
1 Min Read
byScott MacKillop, CEO
Seattle wildfire smoke
Regulation & Compliance
Green Groups Want Offsets Disclosed as Part of SEC’s Climate Rule
Green Groups Want Offsets Disclosed as Part of SEC’s Climate Rule
Feb 14, 2022
|
1 Min Read
byBloomberg
SEC building
Regulation & Compliance
SEC Proposes New Cybersecurity Rules
SEC Proposes New Cybersecurity Rules
Feb 9, 2022
|
1 Min Read
byPatrick Donachie, Senior Reporter

Latest news

Peter Nesvold SignatureFD
RIA
SignatureFD Adds M&A Vet Peter Nesvold to Board
SignatureFD Adds M&A Vet Nesvold to Board

Feb 12, 2025

Larry Restieri and Bob Oros Hightower
Career Moves
Hightower CEO Bob Oros To Step Down
Hightower CEO Bob Oros To Step Down

Feb 11, 2025

empty office chairs
Industry News & Trends
McKinsey Estimates Advisor Shortage of 100,000 by 2034
McKinsey Estimates Advisor Shortage of 100,000 by 2034

Feb 11, 2025

Sign Up for Newsletters
Sign up to receive the latest insights, trends, and analysis.
CE Webinars
View more
Apr 1 - Apr 2, 2025
Learn from top leaders tackling growth, pay, and personnel challenges daily.
Learn More

Trusts & Estates Magazine

Trusts Estates February 2025
Read More

Latest Digital Edition

Trusts & Estates: February 2025 Digital Edition

Feature on Ultra-High-Net-Worth Families & Family Offices