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Regulation & Compliance

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Regulation & Compliance
SIFMA Hopes SEC Adapts Regulatory Framework for Remote WorkSIFMA Hopes SEC Adapts Regulatory Framework for Remote Work

In a virtual 'State of the Industry' briefing, CEO Ken Bentsen said he also hoped the SEC would look at how e-delivery of documents has increased during the COVID-19 pandemic.

byPatrick Donachie, Senior Reporter
Dec 8, 2020
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1 Min Read
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Regulation & Compliance
Merrill Lynch Pays $26 Million To Settle New Hampshire ChargesMerrill Lynch Pays $26 Million To Settle New Hampshire Charges
byPatrick Donachie
Dec 7, 2020
1 Min Read
FINRA
Regulation & Compliance
FINRA: Rep Impersonated Clients to Obtain Account InfoFINRA: Rep Impersonated Clients to Obtain Account Info
byPatrick Donachie
Dec 4, 2020
1 Min Read
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Regulation & Compliance
Can NASAA's CE Rule Get Widespread Buy-In From States?Can NASAA's CE Rule Get Widespread Buy-In From States?
byPatrick Donachie
Dec 3, 2020
1 Min Read
Finra
Regulation & Compliance
FINRA Postpones In-Person Hearings to End of FebruaryFINRA Postpones In-Person Hearings to End of February
byPatrick Donachie
Dec 3, 2020
1 Min Read
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Regulation & Compliance
Delaware Latest State to Propose Best Interest Rule for AnnuitiesDelaware Latest State to Propose Best Interest Rule for Annuities
byPatrick Donachie
Dec 2, 2020
1 Min Read
SEC seal
Regulation & Compliance
SEC Charges Florida Man With Defrauding Puerto Rican City
SEC Charges Florida Man With Defrauding Puerto Rican City
Dec 1, 2020
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1 Min Read
byDiana Britton, Managing Editor
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Regulation & Compliance
CFP Board Hires Former SEC Veteran as Enforcement Chief
CFP Board Hires Former SEC Veteran as Enforcement Chief
Dec 1, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
US SEC building in Washington, D.C., 2008
Regulation & Compliance
SEC: Florida Man Misused Haitian American Investors' Funds
SEC: Florida Man Misused Haitian American Investors' Funds
Nov 30, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
Advisor Craig Rumbaugh Settles With SEC for $1 Million
Advisor Craig Rumbaugh Settles With SEC for $1 Million
Nov 25, 2020
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1 Min Read
byAsia Martin, Reporter
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Regulation & Compliance
Alabama, Rhode Island Consider 'Best Interest' Rule for Annuities
Alabama, Rhode Island Consider 'Best Interest' Rule for Annuities
Nov 25, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
JPMorgan Chase
Regulation & Compliance
JPMorgan Fined $250 Million for Asset, Wealth Management Lapse
JPMorgan Fined $250 Million for Asset, Wealth Management Lapse
Nov 25, 2020
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1 Min Read
byMichelle F. Davis
DOL sign
Regulation & Compliance
DOL Sends Fiduciary Proposal to OMB for Final Review
DOL Sends Fiduciary Proposal to OMB for Final Review
Nov 25, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Will Biden Take Action on ESG Regulation?
Will Biden Take Action on ESG Regulation?
Nov 24, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
courthouse columns
Regulation & Compliance
Conn. Advisor Sentenced to 42 Months in Jail for Ponzi Scheme
Conn. Advisor Sentenced to 42 Months in Jail for Ponzi Scheme
Nov 19, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Brokers Claim Virtual FINRA Hearings Unfair
Brokers Claim Virtual FINRA Hearings Unfair
Nov 18, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Clayton Defends Share Class Initiative in Senate Hearing
Clayton Defends Share Class Initiative in Senate Hearing
Nov 17, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
U.S. Department of Labor
Regulation & Compliance
DOL's Fiduciary Proposal Is Running Short on Time
DOL's Fiduciary Proposal Is Running Short on Time
Nov 16, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
CFP Board office.
Regulation & Compliance
CFP Board Releases Sample Letters to Improve Client Communication
CFP Board Releases Sample Letters to Improve Client Communication
Nov 13, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Headquarters
Regulation & Compliance
SEC Charges Five Firms With Improperly Selling Volatility-Linked ETPs
SEC Charges Five Firms With Improperly Selling Volatility-Linked ETPs
Nov 13, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
NY Real Estate Developer Charged With Ponzi-Like Scheme Settles With SEC
NY Real Estate Developer Charged With Ponzi-Like Scheme Settles With SEC
Nov 11, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Biden Names Securities Regs Review Transition Team
Biden Names Securities Regs Review Transition Team
Nov 10, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
SEC Risk Alert Warns Multibranch Firms on Compliance Concerns
SEC Risk Alert Warns Multibranch Firms on Compliance Concerns
Nov 10, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
US SEC building in Washington, D.C., 2008
Regulation & Compliance
SEC: Unregistered Brokers Pushed Investors to Purchase Microcap Securities
SEC: Unregistered Brokers Pushed Investors to Purchase Microcap Securities
Nov 9, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Schwab Panel: Election, Vaccine Bring Stability, but Democrats' Plans Face Uphill Battle
Schwab Panel: Election, Vaccine Bring Stability, but Democrats' Plans Face Uphill Battle
Nov 9, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Wall Street Wants to Be Sure Biden Can Keep Warren’s Army at Bay
Wall Street Wants to Be Sure Biden Can Keep Warren’s Army at Bay
Nov 9, 2020
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1 Min Read
byRobert Schmidt, Jesse Hamilton and Yalman Onaran
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Regulation & Compliance
What Does Divided Government Mean for Advisor Regulations?
What Does Divided Government Mean for Advisor Regulations?
Nov 5, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
SEC, DOJ Charge Florida Faux-Advisor 'Terrence Cash' With Defrauding Investors
SEC, DOJ Charge Florida Faux-Advisor 'Terrence Cash' With Defrauding Investors
Nov 4, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
US SEC building in Washington, D.C., 2008
Regulation & Compliance
SEC Shows Enforcement Dips, Record Whistleblower Awards in FY2020
SEC Shows Enforcement Dips, Record Whistleblower Awards in FY2020
Nov 3, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
Jay Clayton SIFMA
Regulation & Compliance
New SEC Amendments Expand Access to Private Markets
New SEC Amendments Expand Access to Private Markets
Nov 2, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
DOL Finalizes Rule on ESG Investing in Retirement Plans
Regulation & Compliance
DOL Finalizes Rule on ESG Investing in Retirement Plans
DOL Finalizes Rule on ESG Investing in Retirement Plans
Oct 30, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA Adopts Restrictions on Reps Acting as Beneficiaries
Regulation & Compliance
FINRA Adopts Restrictions on Reps Acting as Beneficiaries
FINRA Adopts Restrictions on Reps Acting as Beneficiaries
Oct 29, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
SEC Charges Seven in Microcap Securities Scheme
SEC Charges Seven in Microcap Securities Scheme
Oct 28, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
A Blue Wave May Derail DOL's Rule on ESG in Retirement Plans
A Blue Wave May Derail DOL's Rule on ESG in Retirement Plans
Oct 28, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Reg BI Roundtable Highlights 'Good Faith' Compliance Efforts, Disciplinary Disclosure Pitfalls
Reg BI Roundtable Highlights 'Good Faith' Compliance Efforts, Disciplinary Disclosure Pitfalls
Oct 26, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter

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