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Regulation & Compliance

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Regulation & Compliance
Marketing, Advertising Top 2021 Concern for Firms’ Compliance OfficersMarketing, Advertising Top 2021 Concern for Firms’ Compliance Officers

The results in the 2021 Investment Adviser Association survey come several months after the SEC’s new ad rule.

byPatrick Donachie, Senior Reporter
Sep 7, 2021
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1 Min Read
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Regulation & Compliance
SEC Cyber Violations a 'Guessing Game,' Say ObserversSEC Cyber Violations a 'Guessing Game,' Say Observers
byPatrick Donachie
Sep 3, 2021
1 Min Read
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Regulation & Compliance
SEC Chairman Gensler Orders Review of Funds’ ESG DisclosuresSEC Chairman Gensler Orders Review of Funds’ ESG Disclosures
bySteven Arons
Sep 2, 2021
1 Min Read
US SEC building in Washington, D.C., 2008
Regulation & Compliance
What Do Recent SEC Hires Say About Commission's Direction?What Do Recent SEC Hires Say About Commission's Direction?
byPatrick Donachie
Sep 1, 2021
1 Min Read
SEC seal
Regulation & Compliance
SEC Accuses Couple of Fleecing Investors in $17.6M Ponzi SchemeSEC Accuses Couple of Fleecing Investors in $17.6M Ponzi Scheme
byPatrick Donachie
Aug 31, 2021
1 Min Read
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Regulation & Compliance
SEC: Mass. Firm Failed to Disclose Cash Sweep ConflictsSEC: Mass. Firm Failed to Disclose Cash Sweep Conflicts
byPatrick Donachie
Aug 31, 2021
1 Min Read
Gary Gensler
Regulation & Compliance
Robinhood Extends Slump on Payment for Order Flow Ban Fears
Robinhood Extends Slump on Payment for Order Flow Ban Fears
Aug 31, 2021
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1 Min Read
byAnnie Massa
cybersecurity illustration computer with shield
Regulation & Compliance
SEC Charges Eight Firms for Cybersecurity Shortfalls
SEC Charges Eight Firms for Cybersecurity Shortfalls
Aug 30, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Former 1 Global Capital COO, Securities Attorneys Sentenced in $320M Fraud
Former 1 Global Capital COO, Securities Attorneys Sentenced in $320M Fraud
Aug 30, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
SEC Hints at Tougher Online-Broker Rules Over Game-Like Features
SEC Hints at Tougher Online-Broker Rules Over Game-Like Features
Aug 27, 2021
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1 Min Read
byRobert Schmidt
SEC building
Regulation & Compliance
SEC Fines Florida RIA $1.6M for Failing to Disclose Mutual Fund Share Class Conflicts
SEC Fines Florida RIA $1.6M for Failing to Disclose Mutual Fund Share Class Conflicts
Aug 27, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Barbara Roper Joins SEC as Senior Advisor to Gensler
Barbara Roper Joins SEC as Senior Advisor to Gensler
Aug 26, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
SEC Claims Georgia Advisor Fleeced 400 Investors in $110M Ponzi Scheme
SEC Claims Georgia Advisor Fleeced 400 Investors in $110M Ponzi Scheme
Aug 25, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
SEC Charges Texas Advisor With Defrauding Investors, Retirees of $58M
SEC Charges Texas Advisor With Defrauding Investors, Retirees of $58M
Aug 23, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
GME Reddit
Regulation & Compliance
The GME Short Squeeze: A Case For Adjusting Online Communications Monitoring?
The GME Short Squeeze: A Case For Adjusting Online Communications Monitoring?
Aug 20, 2021
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1 Min Read
bySteve Brown
SoFi
Regulation & Compliance
SoFi Sued by SEC Over Conflicts of Interest in Proprietary ETFs
SoFi Sued by SEC Over Conflicts of Interest in Proprietary ETFs
Aug 19, 2021
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1 Min Read
byMatt Robinson
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Regulation & Compliance
Connecticut Passes ‘Best Interest’ Rule for Annuities
Connecticut Passes ‘Best Interest’ Rule for Annuities
Aug 18, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
ISC Advisors Settles SEC Charges Over Share Class Disclosure Violations
ISC Advisors Settles SEC Charges Over Share Class Disclosure Violations
Aug 17, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Fired Merrill Advisor Sentenced to Three Years in Prison for Defrauding Clients of $3M
Fired Merrill Advisor Sentenced to Three Years in Prison for Defrauding Clients of $3M
Aug 16, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
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Sponsored Content
Trends in Wealth Advisory
Trends in Wealth Advisory
Aug 16, 2021
FINRA Announces Sweep of B/Ds' Supervision of Options Trading
Regulation & Compliance
FINRA Announces Sweep of B/Ds' Supervision of Options Trading
FINRA Announces Sweep of B/Ds' Supervision of Options Trading
Aug 11, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
US SEC building in Washington, D.C., 2008
Regulation & Compliance
SEC Charges Advisor With Defrauding Fellow Grail Movement Followers
SEC Charges Advisor With Defrauding Fellow Grail Movement Followers
Aug 10, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
U.S. Capitol building night
Regulation & Compliance
Senators Reach Bipartisan Crypto Deal Amid Vote Uncertainty
Senators Reach Bipartisan Crypto Deal Amid Vote Uncertainty
Aug 9, 2021
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1 Min Read
byMacKenzie Hawkins and Laura Davison
FINRA
Regulation & Compliance
SEC OKs FINRA Rule Forcing High-Risk Firms to Set Aside Funds
SEC OKs FINRA Rule Forcing High-Risk Firms to Set Aside Funds
Aug 2, 2021
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1 Min Read
byDiana Britton, Managing Editor
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Regulation & Compliance
Critics Question Impact of CFP Board's Proposed Sanction Revisions
Critics Question Impact of CFP Board's Proposed Sanction Revisions
Jul 30, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
Mad Men jail
Regulation & Compliance
Investment Advisor Gets More Than Five Years in Prison for Securities Fraud
Investment Advisor Gets More Than Five Years in Prison for Securities Fraud
Jul 29, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
SEC's New Enforcement Chief May Bring Wider Net to Reg BI
SEC's New Enforcement Chief May Bring Wider Net to Reg BI
Jul 29, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
US SEC building in Washington, D.C., 2008
Regulation & Compliance
SEC Charges 27 Firms With Failing to Deliver Form CRS to Clients by Deadlines
SEC Charges 27 Firms With Failing to Deliver Form CRS to Clients by Deadlines
Jul 26, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
FINRA Mulls New Guidance, Rulemaking After GameStop Saga
FINRA Mulls New Guidance, Rulemaking After GameStop Saga
Jul 23, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA
Regulation & Compliance
FINRA Hopes to Extend Remote Branch Office Exams Into Next Year
FINRA Hopes to Extend Remote Branch Office Exams Into Next Year
Jul 22, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
Charles Schwab office
Regulation & Compliance
Mass. Charges Schwab for Failing to Stop Payments to Former RIA
Mass. Charges Schwab for Failing to Stop Payments to Former RIA
Jul 21, 2021
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1 Min Read
byDiana Britton, Managing Editor
Compliance Executives Look Toward Office Return
Regulation & Compliance
Compliance Executives Look Toward Office Return
Compliance Executives Look Toward Office Return
Jul 20, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
Vegas Mother-Son Duo Swindled Investors in Crypto Scam, SEC Says
Regulation & Compliance
Vegas Mother-Son Duo Swindled Investors in Crypto Scam, SEC Says
Vegas Mother-Son Duo Swindled Investors in Crypto Scam, SEC Says
Jul 20, 2021
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1 Min Read
bySuzanne Woolley and Charlie Wells (Bloomberg)
UBS
Regulation & Compliance
SEC: UBS to Pay $8 Million for ETP Compliance Lapses
SEC: UBS to Pay $8 Million for ETP Compliance Lapses
Jul 19, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
courthouse columns
Regulation & Compliance
Final Woodbridge Execs Plead Guilty in $1.3B Ponzi Scheme
Final Woodbridge Execs Plead Guilty in $1.3B Ponzi Scheme
Jul 16, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter

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