Sponsored By

Regulation & Compliance

ohio-pin-map.jpg
Regulation & Compliance
Ohio Finalizes Best Interest Rule for Annuities, Joining Other StatesOhio Finalizes Best Interest Rule for Annuities, Joining Other States

The rule is based off a model designed by the National Association for Insurance Commissioners that was intended to align with the SEC's Regulation Best Interest.

byPatrick Donachie, Senior Reporter
Feb 5, 2021
|
1 Min Read
William Galvin
Regulation & Compliance
Galvin Faults RBC For Failing to Oversee Broker's TradesGalvin Faults RBC For Failing to Oversee Broker's Trades
byPatrick Donachie
Feb 4, 2021
1 Min Read
businessman handcuffed
Regulation & Compliance
GPB Capital Founder and CEO Indicted for Alleged FraudGPB Capital Founder and CEO Indicted for Alleged Fraud
byDiana Britton
Feb 4, 2021
1 Min Read
thecapitol.jpg
Regulation & Compliance
FSI to Tout Reg BI Effectiveness in 2021FSI to Tout Reg BI Effectiveness in 2021
byPatrick Donachie
Feb 2, 2021
1 Min Read
cfp-board-sign.jpg
Regulation & Compliance
CFP Board Reviews Sanction GuidelinesCFP Board Reviews Sanction Guidelines
byPatrick Donachie
Feb 1, 2021
1 Min Read
SEC Seal
Regulation & Compliance
SEC Says It’s Probing Market Mania for Potential MisconductSEC Says It’s Probing Market Mania for Potential Misconduct
byBen Bain
Jan 29, 2021
1 Min Read
office-desk-computer-mask.jpg
Regulation & Compliance
Broker/Dealer Compliance Officers Face Surging Personal Liability Risks
Broker/Dealer Compliance Officers Face Surging Personal Liability Risks
Jan 29, 2021
|
1 Min Read
byMarianna Shafir
sec-flag-seal.jpg
Regulation & Compliance
Fiduciary Advocates Urge SEC to Take 'Best Interest' Out of Reg BI
Fiduciary Advocates Urge SEC to Take 'Best Interest' Out of Reg BI
Jan 28, 2021
|
1 Min Read
byPatrick Donachie, Senior Reporter
Gary Gensler
Regulation & Compliance
Gensler Is Poised to Confront Stock Market Hit by Historic Mania
Gensler Is Poised to Confront Stock Market Hit by Historic Mania
Jan 28, 2021
|
1 Min Read
byBen Bain and Robert Schmidt
FINRA-HQ.jpeg
Regulation & Compliance
FINRA Examining Certain Reps Who Took PPP Loans
FINRA Examining Certain Reps Who Took PPP Loans
Jan 26, 2021
|
1 Min Read
byPatrick Donachie, Senior Reporter
FINRA-HQ.jpeg
Regulation & Compliance
FINRA Bars Broker Over Undisclosed Transactions
FINRA Bars Broker Over Undisclosed Transactions
Jan 22, 2021
|
1 Min Read
byPatrick Donachie, Senior Reporter
donald-trump-wave.jpg
Regulation & Compliance
Trump Pardons Attorney Sentenced for Obstructing Ponzi Scheme Probe
Trump Pardons Attorney Sentenced for Obstructing Ponzi Scheme Probe
Jan 20, 2021
|
1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
SEC: Father and Son Duo Misled Investors
SEC: Father and Son Duo Misled Investors
Jan 19, 2021
|
1 Min Read
byPatrick Donachie, Senior Reporter
Gary Gensler
Regulation & Compliance
Fiduciary Advocates Hail Biden's Pick for SEC Chair
Fiduciary Advocates Hail Biden's Pick for SEC Chair
Jan 19, 2021
|
1 Min Read
byPatrick Donachie, Senior Reporter
US SEC building in Washington, D.C., 2008
Regulation & Compliance
SEC Freezes Assets of Unregistered California Broker
SEC Freezes Assets of Unregistered California Broker
Jan 12, 2021
|
1 Min Read
byPatrick Donachie, Senior Reporter
SEC Headquarters
Regulation & Compliance
SEC: 'Divinely Inspired' Traders Were Mere Frauds
SEC: 'Divinely Inspired' Traders Were Mere Frauds
Jan 11, 2021
|
1 Min Read
byPatrick Donachie, Senior Reporter
FINRA Postpones In-Person Arbitration, Mediation Until April 2
Regulation & Compliance
FINRA Postpones In-Person Arbitration, Mediation Until April 2
FINRA Postpones In-Person Arbitration, Mediation Until April 2
Jan 7, 2021
|
1 Min Read
byPatrick Donachie, Senior Reporter
LPL Financial
Regulation & Compliance
LPL to Pay FINRA $6.5M for Supervisory Shortfalls
LPL to Pay FINRA $6.5M for Supervisory Shortfalls
Jan 6, 2021
|
1 Min Read
byPatrick Donachie, Senior Reporter
Morgan Stanley
Regulation & Compliance
FINRA: Morgan Stanley to Pay $1.7 Million for 529 Plan Lapses
FINRA: Morgan Stanley to Pay $1.7 Million for 529 Plan Lapses
Jan 4, 2021
|
1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
Pruco Securities Settles With SEC Over Wrap Fee Violations
Pruco Securities Settles With SEC Over Wrap Fee Violations
Dec 23, 2020
|
1 Min Read
byDiana Britton, Managing Editor
voya-financial-sign.jpg
Regulation & Compliance
Voya Financial to Pay Nearly $23 Million for Share Class Violations
Voya Financial to Pay Nearly $23 Million for Share Class Violations
Dec 22, 2020
|
1 Min Read
byPatrick Donachie, Senior Reporter
sec-flag-seal.jpg
Regulation & Compliance
SEC Revises Marketing Rules for Advisors
SEC Revises Marketing Rules for Advisors
Dec 22, 2020
|
1 Min Read
byPatrick Donachie, Senior Reporter
Chalres Schwab
Regulation & Compliance
Charles Schwab Hit With $12M Fine Over Inadequate Safeguards
Charles Schwab Hit With $12M Fine Over Inadequate Safeguards
Dec 22, 2020
|
1 Min Read
bySamuel Steinberger, Senior Technology Editor
SEC Headquarters
Regulation & Compliance
SEC To Expand Scope of Reg BI Exams in 2021
SEC To Expand Scope of Reg BI Exams in 2021
Dec 21, 2020
|
1 Min Read
byPatrick Donachie, Senior Reporter
FINRA: Transamerica to Pay $8.8 Million for Supervision Lapses
Regulation & Compliance
FINRA: Transamerica to Pay $8.8 Million for Supervision Lapses
FINRA: Transamerica to Pay $8.8 Million for Supervision Lapses
Dec 21, 2020
|
1 Min Read
byPatrick Donachie, Senior Reporter
Cetera was another firm that made significant gains by employing 2569 advisors last year up from 1930 in 2011
Regulation & Compliance
FINRA Hits Cetera With $1 Million Fine Over Dual-Registrant Oversight
FINRA Hits Cetera With $1 Million Fine Over Dual-Registrant Oversight
Dec 18, 2020
|
1 Min Read
byPatrick Donachie, Senior Reporter
darryl-claxton.jpg
Regulation & Compliance
CFP Board Suspends Financial Planner’s License Over Child Porn Charges
CFP Board Suspends Financial Planner’s License Over Child Porn Charges
Dec 18, 2020
|
1 Min Read
byDiana Britton, Managing Editor
SEC Seal
Regulation & Compliance
CapWealth Plans to Fight SEC Charges Over Share Class Conflicts
CapWealth Plans to Fight SEC Charges Over Share Class Conflicts
Dec 17, 2020
|
1 Min Read
byPatrick Donachie, Senior Reporter
nyse-coronavirus-mask.jpg
Regulation & Compliance
FINRA Seeks Firms' Feedback on COVID-19
FINRA Seeks Firms' Feedback on COVID-19
Dec 16, 2020
|
1 Min Read
byPatrick Donachie, Senior Reporter
joe-biden-watch.jpg
Regulation & Compliance
Consumer Advocates Call on Biden to Delay DOL's Fiduciary Rule
Consumer Advocates Call on Biden to Delay DOL's Fiduciary Rule
Dec 16, 2020
|
1 Min Read
byPatrick Donachie, Senior Reporter
DOL sign
Regulation & Compliance
DOL Releases Final Version of Fiduciary Rule
DOL Releases Final Version of Fiduciary Rule
Dec 15, 2020
|
1 Min Read
byPatrick Donachie, Senior Reporter
SEC Headquarters
Regulation & Compliance
SEC Director of Division of Trading and Markets Brett Redfearn to Depart
SEC Director of Division of Trading and Markets Brett Redfearn to Depart
Dec 15, 2020
|
1 Min Read
byPatrick Donachie, Senior Reporter
finra
Regulation & Compliance
FINRA Boosts Regulatory CE Requirements
FINRA Boosts Regulatory CE Requirements
Dec 14, 2020
|
1 Min Read
byPatrick Donachie, Senior Reporter
Screen Shot 2020-12-10 at 3.38.36 PM.png
Regulation & Compliance
Crenshaw: SEC Under Biden Likely to Tighten Up ESG Disclosures
Crenshaw: SEC Under Biden Likely to Tighten Up ESG Disclosures
Dec 10, 2020
|
1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
SEC: Firm Didn't Disclose Higher-Cost Share Class Fees
SEC: Firm Didn't Disclose Higher-Cost Share Class Fees
Dec 9, 2020
|
1 Min Read
byPatrick Donachie, Senior Reporter

Latest news

couple holding hands heart
Sponsored Content
Cupid Calling: The Power of the Re-Proposal
Cupid Calling: The Power of the Re-Proposal

Feb 12, 2025

CFPB office HQ
Regulation & Compliance
CFPB Disarray Puts Future Fintech, Bank Oversight Into Question
CFPB Disarray Puts Future Fintech, Bank Oversight Into Question

Feb 12, 2025

charles schwab branch
Equities
Charles Schwab Expands 24-Hour Trading to All Its Retail Clients
Schwab Expands 24-Hour Trading to All Retail Clients

Feb 12, 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