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Regulation & Compliance

Death of Tax Inversion Wont Stop CrossBorder MA Analysts Say
Regulation & Compliance
U.S. Regulators Inch Closer to Treasuries-Market ReformsU.S. Regulators Inch Closer to Treasuries-Market Reforms

A progress report released Monday identified five areas of study.

byChristopher Condon and Liz Capo McCormick (Bloomberg)
Nov 8, 2021
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1 Min Read
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Regulation & Compliance
Rochester Man Gets Seven Years in Prison for Role in Ponzi SchemeRochester Man Gets Seven Years in Prison for Role in Ponzi Scheme
byPatrick Donachie
Nov 8, 2021
1 Min Read
SEC Seal
Regulation & Compliance
B/Ds’ Compliance Practices Largely Unchanged After Reg BI, NASAA SaysB/Ds’ Compliance Practices Largely Unchanged After Reg BI, NASAA Says
byPatrick Donachie
Nov 4, 2021
1 Min Read
gold-handcuffs-dollar-signs.jpg
Regulation & Compliance
DOJ Charges Former Wells Fargo Advisor With Stealing Nearly $3MDOJ Charges Former Wells Fargo Advisor With Stealing Nearly $3M
byPatrick Donachie
Oct 29, 2021
1 Min Read
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Regulation & Compliance
SEC Argues Another Firm Missed Form CRS Filing DeadlineSEC Argues Another Firm Missed Form CRS Filing Deadline
byPatrick Donachie
Oct 28, 2021
1 Min Read
Twitter-stock-market-Andrew-Burton-GettyImages-187232514.jpg
Regulation & Compliance
DOJ Charges Trader With Defrauding Twitter Followers in Pump-and-Dump SchemeDOJ Charges Trader With Defrauding Twitter Followers in Pump-and-Dump Scheme
byPatrick Donachie
Oct 27, 2021
1 Min Read
SEC Seal
Regulation & Compliance
SEC: Colorado Advisor Defrauded Investors While Raising $3.2 Million
SEC: Colorado Advisor Defrauded Investors While Raising $3.2 Million
Oct 26, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
Department of Labor backs off overtime changes
Regulation & Compliance
DOL Delays Fiduciary Rule Enforcement to 2022
DOL Delays Fiduciary Rule Enforcement to 2022
Oct 25, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
SEC Fines Syracuse Firm For Failing to File Form CRS
SEC Fines Syracuse Firm For Failing to File Form CRS
Oct 21, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
thecapitol.jpg
Regulation & Compliance
Schwab Regulatory Expert Predicts DOL Will Revisit Defining ‘Fiduciary’ in 2022
Schwab Regulatory Expert Predicts DOL Will Revisit Defining ‘Fiduciary’ in 2022
Oct 21, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
gamestop-sign-nyc.jpg
Regulation & Compliance
SEC GameStop Report Debunks Conspiracies, Backs Gensler Plan
SEC GameStop Report Debunks Conspiracies, Backs Gensler Plan
Oct 19, 2021
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1 Min Read
byBen Bain
US Department of Labor
Regulation & Compliance
DOL Proposes New ESG Rule After Scrapping Trump-Era Version
DOL Proposes New ESG Rule After Scrapping Trump-Era Version
Oct 14, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
US SEC building in Washington, D.C., 2008
Regulation & Compliance
SEC Investor Advocate: Gamification Exposes 'Significant Flaw' in Reg BI
SEC Investor Advocate: Gamification Exposes 'Significant Flaw' in Reg BI
Oct 13, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
SEC Examiners to Include Reg BI Questions in Standard Exams
SEC Examiners to Include Reg BI Questions in Standard Exams
Oct 12, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
Five US Plants Gets Upgrade from GM
Regulation & Compliance
Former Michigan Pastor Sentenced for Investment Ponzi Scheme
Former Michigan Pastor Sentenced for Investment Ponzi Scheme
Oct 11, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
damian-williams.jpg
Regulation & Compliance
Wall Street Enforcer Becomes First Black U.S. Attorney for Manhattan
Wall Street Enforcer Becomes First Black U.S. Attorney for Manhattan
Oct 11, 2021
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1 Min Read
byChristian Berthelsen (Bloomberg)
Max-Schatzow-bitcoin-conference.png
Regulation & Compliance
Navigating Digital Asset Compliance: Advice for Advisors
Navigating Digital Asset Compliance: Advice for Advisors
Oct 7, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
dollar in focus
Regulation & Compliance
New NASAA Model Rules Target Unpaid Arbitration Awards
New NASAA Model Rules Target Unpaid Arbitration Awards
Oct 6, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Chair Gary Gensler
Regulation & Compliance
Gensler: SEC Likely to Propose Climate Disclosure Rule in Coming Months
Gensler: SEC Likely to Propose Climate Disclosure Rule in Coming Months
Oct 5, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
SEC: California Firm Misled Clients About Fee Markups
SEC: California Firm Misled Clients About Fee Markups
Oct 4, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Headquarters
Regulation & Compliance
SEC, DOJ Claim Illinois Advisor Stole Nearly $1M From Elderly Clients
SEC, DOJ Claim Illinois Advisor Stole Nearly $1M From Elderly Clients
Oct 1, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
elderly-man-computer-glasses.jpg
Regulation & Compliance
Enforcement Against Self-Directed IRA Scams Doubled in 2020
Enforcement Against Self-Directed IRA Scams Doubled in 2020
Sep 30, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
US dollar bills
Regulation & Compliance
Plaintiffs’ Attorneys: 3 in 10 Arbitration Awards Went Unpaid in 2020
Plaintiffs’ Attorneys: 3 in 10 Arbitration Awards Went Unpaid in 2020
Sep 29, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
social-media-apps-phone.jpg
Regulation & Compliance
FINRA Targets Firms' Social Media Activity
FINRA Targets Firms' Social Media Activity
Sep 27, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
U.S. Department of Labor
Regulation & Compliance
Advocacy Groups Seek More Time Implementing DOL Fiduciary Rule
Advocacy Groups Seek More Time Implementing DOL Fiduciary Rule
Sep 23, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
nasaa-podium.jpeg
Regulation & Compliance
New NASAA President to Prioritize Expungements, Digital Assets
New NASAA President to Prioritize Expungements, Digital Assets
Sep 22, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
elderly-woman-computer-fraud.jpg
Regulation & Compliance
NASAA: Nearly 60% of State Advisors Lack Procedures Protecting Senior Investors
NASAA: Nearly 60% of State Advisors Lack Procedures Protecting Senior Investors
Sep 21, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
daryl-bank.png
Regulation & Compliance
Barred Advisor Sentenced to 35 Years for $25M Scheme
Barred Advisor Sentenced to 35 Years for $25M Scheme
Sep 21, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
SEC Charges Two More Firms With Share Class Disclosure Violations
SEC Charges Two More Firms With Share Class Disclosure Violations
Sep 20, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
Michael Kitces
Regulation & Compliance
XYPN Urges SEC to Consider Rules Enhancing Broker/Advisor Separation
XYPN Urges SEC to Consider Rules Enhancing Broker/Advisor Separation
Sep 20, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
Keith Gill aka Roaring Kitty
Regulation & Compliance
MassMutual to Pay $4M for Failing to Identify Keith Gill’s Social Persona
MassMutual to Pay $4M for Failing to Identify Keith Gill’s Social Persona
Sep 16, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
prison-cell-doors-bars.jpg
Regulation & Compliance
Unregistered Advisor Sentenced to 3 Years in Prison for Defrauding Elderly Victim to Pay Student Loans
Unregistered Advisor Sentenced to 3 Years in Prison for Defrauding Elderly Victim to Pay Student Loans
Sep 15, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
gary-gensler-2021.jpg
Regulation & Compliance
Gensler: Payment for Order Flow May Stymie Market Competition
Gensler: Payment for Order Flow May Stymie Market Competition
Sep 14, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Headquarters
Regulation & Compliance
SEC: MML Investors Services Didn’t Disclose Mutual Fund Revenue-Sharing Conflicts
SEC: MML Investors Services Didn’t Disclose Mutual Fund Revenue-Sharing Conflicts
Sep 13, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
gavel-blue-bkgd-TS.jpg
Regulation & Compliance
Investment Advisor With 40-Year Prison Sentence Loses Appeal
Investment Advisor With 40-Year Prison Sentence Loses Appeal
Sep 10, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter

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