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Regulation & Compliance

FINRA
Regulation & Compliance
FINRA Planning to Hike Fees in 2022FINRA Planning to Hike Fees in 2022

The regulatory agency said member firms should see fees increase starting next year, even as the number of registered reps continues to decline.

byPatrick Donachie, Senior Reporter
May 25, 2021
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1 Min Read
sec-building-new.jpg
Regulation & Compliance
SEC Bars Broker For Churning Client AccountsSEC Bars Broker For Churning Client Accounts
byPatrick Donachie
May 25, 2021
1 Min Read
Milwaukee Broker Busted for $2.6 Million Fraud Scheme
Regulation & Compliance
Milwaukee Broker Busted for $2.6 Million Fraud SchemeMilwaukee Broker Busted for $2.6 Million Fraud Scheme
byPatrick Donachie
May 24, 2021
1 Min Read
SEC Chair Gary Gensler
Regulation & Compliance
Gensler Urges Best Interest 'Common Sense'Gensler Urges Best Interest 'Common Sense'
byPatrick Donachie
May 21, 2021
1 Min Read
FINRA Executive Vice President and Chief Legal Officer Bob Colby
Regulation & Compliance
Firms' Inspections of Offices May Stay Remote Into 2022Firms' Inspections of Offices May Stay Remote Into 2022
byPatrick Donachie
May 20, 2021
1 Min Read
money-stack-closeup.jpg
Regulation & Compliance
NASAA Approves Model Act for Restitution Assistance FundsNASAA Approves Model Act for Restitution Assistance Funds
byPatrick Donachie
May 19, 2021
1 Min Read
PIABA President David Meyer
Regulation & Compliance
PIABA: FINRA Arbitrators Grant Expungements 90% of the Time
PIABA: FINRA Arbitrators Grant Expungements 90% of the Time
May 18, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
handcuffs money
Regulation & Compliance
Former Raymond James Rep Sentenced to Five Years for Defrauding Elderly Investors
Former Raymond James Rep Sentenced to Five Years for Defrauding Elderly Investors
May 17, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
Dale Brown FSI OneVoice
Regulation & Compliance
FSI Sues DOL Over Independent Contractor Rule Withdrawal
FSI Sues DOL Over Independent Contractor Rule Withdrawal
May 14, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
SEC Charges Texas RIA in $3.7 Million Fraud
SEC Charges Texas RIA in $3.7 Million Fraud
May 14, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
courthouse-columns-close.jpg
Regulation & Compliance
Connecticut Advisor Pleads Guilty to Defrauding Elderly Client
Connecticut Advisor Pleads Guilty to Defrauding Elderly Client
May 13, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
courtroom judge bench
Regulation & Compliance
Long Island Advisor Pleads Guilty to Securities Fraud
Long Island Advisor Pleads Guilty to Securities Fraud
May 13, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
bitcoin-market-graph.jpg
Regulation & Compliance
SEC Warns of Bitcoin Futures Risks in Mutual Fund Investments
SEC Warns of Bitcoin Futures Risks in Mutual Fund Investments
May 12, 2021
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1 Min Read
byBen Bain
dogecoin-bitcoin.jpg
Regulation & Compliance
Crypto Fraudsters Made a Big Bet on Dogecoin, New York Claims
Crypto Fraudsters Made a Big Bet on Dogecoin, New York Claims
May 11, 2021
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1 Min Read
byOlga Kharif
FINRA
Regulation & Compliance
FINRA to Resume In-Person Hearings in July
FINRA to Resume In-Person Hearings in July
May 11, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
gensler-hearing.png
Regulation & Compliance
Gensler Says SEC Will Enforce Reg BI ‘As Written’
Gensler Says SEC Will Enforce Reg BI ‘As Written’
May 7, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
DOL Will Withdraw Trump-Era Independent Contractor Rule
Regulation & Compliance
DOL Will Withdraw Trump-Era Independent Contractor Rule
DOL Will Withdraw Trump-Era Independent Contractor Rule
May 6, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
open-jail-door.jpg
Regulation & Compliance
Chicago Advisor Sentenced to 13 Years in Prison for $5.1 Million Scheme
Chicago Advisor Sentenced to 13 Years in Prison for $5.1 Million Scheme
May 5, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
U.S. Capitol
Regulation & Compliance
Family Offices, Payments to Brokers Are in Democrats’ Crosshairs
Family Offices, Payments to Brokers Are in Democrats’ Crosshairs
May 5, 2021
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1 Min Read
byJeff Kearns
prisonbars.jpg
Regulation & Compliance
Former Advisor Sentenced to Six Years in Prison in $2M Ponzi Scheme
Former Advisor Sentenced to Six Years in Prison in $2M Ponzi Scheme
May 4, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
daryl-bank.png
Regulation & Compliance
Barred Advisor Convicted for Role in $25 Million Investment Scheme
Barred Advisor Convicted for Role in $25 Million Investment Scheme
May 3, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
JPMorgan
Regulation & Compliance
J.P. Morgan Offers 'Clarification' on Place in Broker Protocol
J.P. Morgan Offers 'Clarification' on Place in Broker Protocol
Apr 30, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
Barred Broker Charged With Defrauding Investors of $436,000
Regulation & Compliance
Barred Broker Charged With Defrauding Investors of $436,000
Barred Broker Charged With Defrauding Investors of $436,000
Apr 28, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA
Regulation & Compliance
PIABA Pushes FINRA to Resume In-Person Arbitration Hearings
PIABA Pushes FINRA to Resume In-Person Arbitration Hearings
Apr 27, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Headquarters
Regulation & Compliance
SEC Names New Head of Enforcement
SEC Names New Head of Enforcement
Apr 22, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
JPMorgan Chase
Regulation & Compliance
J.P. Morgan Sues Five Former Advisors for Soliciting Clients
J.P. Morgan Sues Five Former Advisors for Soliciting Clients
Apr 21, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Bars Kentucky Advisor Serving Jail Sentence for Fraud
Regulation & Compliance
SEC Bars Kentucky Advisor Serving Jail Sentence for Fraud
SEC Bars Kentucky Advisor Serving Jail Sentence for Fraud
Apr 20, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
Department of Justice seal
Regulation & Compliance
Maryland Advisor Charged With Draining Elderly Client of Retirement Savings
Maryland Advisor Charged With Draining Elderly Client of Retirement Savings
Apr 19, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
thecapitol.jpg
Regulation & Compliance
New Bill Would Ban Mandatory Arbitration Agreements
New Bill Would Ban Mandatory Arbitration Agreements
Apr 15, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
Gary Gensler
Regulation & Compliance
Senate Confirms Gary Gensler as New SEC Chair
Senate Confirms Gary Gensler as New SEC Chair
Apr 14, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
JPMorgan
Regulation & Compliance
J.P. Morgan Sues Former Advisor for Soliciting Clients
J.P. Morgan Sues Former Advisor for Soliciting Clients
Apr 13, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
US SEC building in Washington, D.C., 2008
Regulation & Compliance
SEC Examiners Warn Advisors of ESG Missteps
SEC Examiners Warn Advisors of ESG Missteps
Apr 12, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
DOL sign
Regulation & Compliance
RIAs Run Risk of Falling Short on DOL Rule Compliance
RIAs Run Risk of Falling Short on DOL Rule Compliance
Apr 12, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
prison-cell.jpg
Regulation & Compliance
North Carolina Advisor Who Used Investor Funds to Buy a Yacht, Jet Sentenced to More Than 11 Years for Fraud
North Carolina Advisor Who Used Investor Funds to Buy a Yacht, Jet Sentenced to More Than 11 Years for Fraud
Apr 7, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
marijuana-leaf-dollars.jpg
Regulation & Compliance
SEC: Indiana Man Defrauded Investors to Finance Hemp Companies
SEC: Indiana Man Defrauded Investors to Finance Hemp Companies
Apr 5, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter

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