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Regulation & Compliance

finra
Regulation & Compliance
FINRA Examiners Tout 'Effective Practices' to Solve Reg BI ShortfallsFINRA Examiners Tout 'Effective Practices' to Solve Reg BI Shortfalls

'The 2022 Report on FINRA’s Examination and Risk Monitoring Program' also looks at firms’ Form CRS compliance and approaches in working with clients via mobile apps.

byPatrick Donachie, Senior Reporter
Feb 9, 2022
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1 Min Read
cfp-board-sign.jpg
Regulation & Compliance
CFP Board Suspends Smoothie-Throwing AdvisorCFP Board Suspends Smoothie-Throwing Advisor
byPatrick Donachie
Feb 8, 2022
1 Min Read
sec-seal-new.jpg
Regulation & Compliance
SEC: Promoter '@BigMoneyMike6' Used Twitter to Boost Penny StocksSEC: Promoter '@BigMoneyMike6' Used Twitter to Boost Penny Stocks
byPatrick Donachie
Feb 8, 2022
1 Min Read
DOL building sign
Regulation & Compliance
New Lawsuit in 5th Circuit Challenges Revised DOL Fiduciary RuleNew Lawsuit in 5th Circuit Challenges Revised DOL Fiduciary Rule
byPatrick Donachie
Feb 7, 2022
1 Min Read
finra
Regulation & Compliance
Georgia Court Vacates FINRA Award, Decrying 'Secret Agreement' With Wells FargoGeorgia Court Vacates FINRA Award, Decrying 'Secret Agreement' With Wells Fargo
byPatrick Donachie
Feb 3, 2022
1 Min Read
fsi-ceo-panel.png
Regulation & Compliance
IBD Execs See 'Difficult' Regulatory Landscape, Return-to-Work UncertaintyIBD Execs See 'Difficult' Regulatory Landscape, Return-to-Work Uncertainty
byPatrick Donachie
Feb 2, 2022
1 Min Read
fidelity investments
Regulation & Compliance
Galvin: Fidelity Failed to Vet Applicants for Options and Margin Trading
Galvin: Fidelity Failed to Vet Applicants for Options and Margin Trading
Jan 27, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
William Galvin
Regulation & Compliance
Massachusetts to Investigate B/Ds Offering Target-Date Mutual Funds
Massachusetts to Investigate B/Ds Offering Target-Date Mutual Funds
Jan 26, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
doj-seal-big.jpg
Regulation & Compliance
SEC, DOJ Both Charge Former UBS Rep With Stealing $5.8 Million
SEC, DOJ Both Charge Former UBS Rep With Stealing $5.8 Million
Jan 25, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
cfp-board-sign.jpg
Regulation & Compliance
CFP Board Announces New Commission to Adjudicate Appeals
CFP Board Announces New Commission to Adjudicate Appeals
Jan 20, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
prisonbars.jpg
Regulation & Compliance
Former Rochester Broker Sentenced to Over 17 Years for Ponzi Scheme
Former Rochester Broker Sentenced to Over 17 Years for Ponzi Scheme
Jan 18, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
RIALawyers.jpg
Regulation & Compliance
New Law Firm Touts Compliance Aid for Middle-Market RIAs
New Law Firm Touts Compliance Aid for Middle-Market RIAs
Jan 11, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
nasaa-podium.jpeg
Regulation & Compliance
Crypto Schemes Top NASAA’s List of Investor Threats for 2022
Crypto Schemes Top NASAA’s List of Investor Threats for 2022
Jan 10, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
courthouse columns
Regulation & Compliance
Ohio Advisor Pleads Guilty for Role in $9.3M Ponzi Scheme
Ohio Advisor Pleads Guilty for Role in $9.3M Ponzi Scheme
Jan 7, 2022
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1 Min Read
byPatrick Donachie, Senior Reporter
sec-building-news-pm-2021.jpg
Regulation & Compliance
The Top Practice Management Story of 2021: Regulators Strike Back
The Top Practice Management Story of 2021: Regulators Strike Back
Dec 29, 2021
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7 Slides
byWealthManagement.com Staff
sec-flag-seal.jpg
Regulation & Compliance
SEC Charges California Unregistered Broker in EquiAlt Scam
SEC Charges California Unregistered Broker in EquiAlt Scam
Dec 22, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
Avantax Wealth Management
Regulation & Compliance
Avantax, SEC to Settle 1st Global Mutual Fund Share Class Allegations
Avantax, SEC to Settle 1st Global Mutual Fund Share Class Allegations
Dec 21, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
sec-seal-new.jpg
Regulation & Compliance
SEC: Firms Need More 'Plain English' in Form CRS
SEC: Firms Need More 'Plain English' in Form CRS
Dec 20, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
JPMorgan Chase
Regulation & Compliance
JPMorgan Bosses Addicted to WhatsApp Fuel $200 Million in Fines
JPMorgan Bosses Addicted to WhatsApp Fuel $200 Million in Fines
Dec 17, 2021
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1 Min Read
byHannah Levitt and Ben Bain
businessman-behind-bars-jail-Pict Rider.jpg
Regulation & Compliance
Former Advisor Sentenced to 14 Years in Federal Prison for $12 Million Scheme
Former Advisor Sentenced to 14 Years in Federal Prison for $12 Million Scheme
Dec 15, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
Advisor Sentenced to 30 Months in Prison for Stealing $600K From Elderly Client
Regulation & Compliance
Advisor Sentenced to 30 Months in Prison for Stealing $600K From Elderly Client
Advisor Sentenced to 30 Months in Prison for Stealing $600K From Elderly Client
Dec 9, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
businessman handcuffs money
Regulation & Compliance
DOJ: Former Edward Jones Advisor Defrauded $800K From Investors
DOJ: Former Edward Jones Advisor Defrauded $800K From Investors
Nov 24, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
RBC_Wealth.jpg
Regulation & Compliance
New Jersey Advisor Returns to RBC Following Restraining Order
New Jersey Advisor Returns to RBC Following Restraining Order
Nov 23, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA Rule Changes Let Out-Of-Work Registrants Keep Qualifications
Regulation & Compliance
FINRA Rule Changes Let Out-Of-Work Registrants Keep Qualifications
FINRA Rule Changes Let Out-Of-Work Registrants Keep Qualifications
Nov 22, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
SEC Enforcement Actions Drop, Penalties Rise in FY 2021
SEC Enforcement Actions Drop, Penalties Rise in FY 2021
Nov 19, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
10-kentucky.jpg
Regulation & Compliance
Kentucky, Mississippi Adopt Best Interest Annuity Rules
Kentucky, Mississippi Adopt Best Interest Annuity Rules
Nov 18, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
gary-gensler-2021.jpg
Regulation & Compliance
SEC Moves to Reverse Trump-Era Rule Chided by Activist Funds
SEC Moves to Reverse Trump-Era Rule Chided by Activist Funds
Nov 17, 2021
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1 Min Read
byBen Bain
SEC Seal
Regulation & Compliance
SEC Charges Miami Firm's CCO With Helping Direct Lover's Cherry-Picking Scheme
SEC Charges Miami Firm's CCO With Helping Direct Lover's Cherry-Picking Scheme
Nov 17, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
bitcoin
Regulation & Compliance
SEC Rejects VanEck’s Bitcoin ETF in Latest Spot-Listing Snub
SEC Rejects VanEck’s Bitcoin ETF in Latest Spot-Listing Snub
Nov 12, 2021
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1 Min Read
byVildana Hajric and Katie Greifeld (Bloomberg)
US SEC building in Washington, D.C., 2008
Regulation & Compliance
SEC: RIAs Often Mischarge Clients
SEC: RIAs Often Mischarge Clients
Nov 12, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
cryptocurrency
Regulation & Compliance
Operation Hidden Treasure: The IRS vs. Crypto
Operation Hidden Treasure: The IRS vs. Crypto
Nov 12, 2021
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1 Min Read
byHarvey Bezozi
cfp-board-sign.jpg
Regulation & Compliance
CFP Board Boosts Sanctions for Self-Reporting Lapses, Proposes New Appeals Commission
CFP Board Boosts Sanctions for Self-Reporting Lapses, Proposes New Appeals Commission
Nov 11, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
sec-seal-new.jpg
Regulation & Compliance
Three Steps to Avoid Regulatory Trouble if You Use a TAMP
Three Steps to Avoid Regulatory Trouble if You Use a TAMP
Nov 11, 2021
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1 Min Read
byScott MacKillop, CEO
Attorney: DOL's Interpretation of Fiduciary Rule More Expansive Than Ever
Regulation & Compliance
Attorney: DOL's Interpretation of Fiduciary Rule More Expansive Than Ever
Attorney: DOL's Interpretation of Fiduciary Rule More Expansive Than Ever
Nov 10, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
finra
Regulation & Compliance
FINRA Fines Aegis Capital $2.8 Million for Potentially Unsuitable Trading
FINRA Fines Aegis Capital $2.8 Million for Potentially Unsuitable Trading
Nov 9, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter

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