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Regulation & Compliance

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Regulation & Compliance
More States Push Forward on New Rules for Annuity SalesMore States Push Forward on New Rules for Annuity Sales

The proposed rules follow revisions made by the National Association of Insurance Commissioners to its model annuity suitability regulations, designed to align with the SEC's Reg BI standard. Critics say the rules aren't strict enough.

byPatrick Donachie, Senior Reporter
Oct 23, 2020
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1 Min Read
SEC Seal
Regulation & Compliance
SEC Obtains Judgment on Advisor Who Defrauded Israeli-American InvestorsSEC Obtains Judgment on Advisor Who Defrauded Israeli-American Investors
byPatrick Donachie
Oct 21, 2020
1 Min Read
Jay Clayton Ken Bentsen SIFMA
Regulation & Compliance
Clayton Cautions Firms on Form CRS Disciplinary DisclosuresClayton Cautions Firms on Form CRS Disciplinary Disclosures
byPatrick Donachie
Oct 20, 2020
1 Min Read
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Regulation & Compliance
What Happens to Reg BI Under a Biden Administration?What Happens to Reg BI Under a Biden Administration?
byPatrick Donachie
Oct 19, 2020
1 Min Read
XYPN co-founder Alan Moore
Regulation & Compliance
XYPN Pivots From Supreme Court to States in Fiduciary FightXYPN Pivots From Supreme Court to States in Fiduciary Fight
byPatrick Donachie
Oct 12, 2020
1 Min Read
SEC Seal
Regulation & Compliance
SEC Offers More Guidance on Form CRS Disciplinary DisclosuresSEC Offers More Guidance on Form CRS Disciplinary Disclosures
byPatrick Donachie
Oct 9, 2020
1 Min Read
SEC Chair Jay Clayton
Regulation & Compliance
SEC Proposes 'Finders' Exemption for Unregistered Brokers in Private Markets
SEC Proposes 'Finders' Exemption for Unregistered Brokers in Private Markets
Oct 8, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA
Regulation & Compliance
Compliance Officers Want Additional FINRA Extension for 2020 Branch Office Inspections
Compliance Officers Want Additional FINRA Extension for 2020 Branch Office Inspections
Oct 6, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
John McAfee
Regulation & Compliance
SEC Charges John McAfee With Fraudulent ICO Promotions
SEC Charges John McAfee With Fraudulent ICO Promotions
Oct 5, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
CFP Board office.
Regulation & Compliance
CFP Board Outlines New Governance Reforms
CFP Board Outlines New Governance Reforms
Oct 1, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
Ron Rhoades
Regulation & Compliance
Advocates Weigh Fiduciary Advice's Future Post-Election
Advocates Weigh Fiduciary Advice's Future Post-Election
Sep 30, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Swedish National Faces SEC Charges for Defrauding Investors
Swedish National Faces SEC Charges for Defrauding Investors
Sep 29, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
Marcus Beam
Regulation & Compliance
Faux Advisor Who Fled to Bali Must Pay Penalty for Duping U.S. Investors
Faux Advisor Who Fled to Bali Must Pay Penalty for Duping U.S. Investors
Sep 28, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
State Regulators Collect $700 Million in Investor Relief, Penalties in 2019
Regulation & Compliance
State Regulators Collect $700 Million in Investor Relief, Penalties in 2019
State Regulators Collect $700 Million in Investor Relief, Penalties in 2019
Sep 24, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
Critics Worry SEC Shareholder Proposal Rules Limit Corporate Accountability
Critics Worry SEC Shareholder Proposal Rules Limit Corporate Accountability
Sep 23, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
air-force-academy-cadets.jpg
Regulation & Compliance
SEC: Colorado Day Trader Ran Ponzi Scheme on Air Force Cadets
SEC: Colorado Day Trader Ran Ponzi Scheme on Air Force Cadets
Sep 21, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
What Is ESG Investing's Future if Democrats Win Big in Elections?
What Is ESG Investing's Future if Democrats Win Big in Elections?
Sep 18, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
What’s Causing Disciplinary Disclosure Failures on Form CRS?
What’s Causing Disciplinary Disclosure Failures on Form CRS?
Sep 15, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Q&A: Hester Peirce Weighs COVID-19's Impact on SEC Agenda
Q&A: Hester Peirce Weighs COVID-19's Impact on SEC Agenda
Sep 11, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
SEC Charges Connecticut Advisor With Defrauding Retirees
SEC Charges Connecticut Advisor With Defrauding Retirees
Sep 10, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
Wells Fargo
Regulation & Compliance
Well Fargo Pays $2M FINRA Fine Over Variable Annuity Switches
Well Fargo Pays $2M FINRA Fine Over Variable Annuity Switches
Sep 4, 2020
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1 Min Read
byAsia Martin, Reporter
DOL sign
Regulation & Compliance
DOL Fiduciary Proposal Critics Say New Rule Would Cause Client Confusion
DOL Fiduciary Proposal Critics Say New Rule Would Cause Client Confusion
Sep 3, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Robinhood Probed by SEC Over Payments From High-Speed Traders
Robinhood Probed by SEC Over Payments From High-Speed Traders
Sep 3, 2020
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1 Min Read
byMatt Robinson, Sophie Alexander and Annie Massa
Betterment office
Regulation & Compliance
Betterment's Search for a CCO Continues
Betterment's Search for a CCO Continues
Sep 2, 2020
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1 Min Read
bySamuel Steinberger, Senior Technology Editor
NASAA Screenshot.png
Regulation & Compliance
State Regulators Question SEC's Private Markets Decision During Annual Conference
State Regulators Question SEC's Private Markets Decision During Annual Conference
Sep 1, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
William Galvin
Regulation & Compliance
Massachusetts Starts Enforcing Its Fiduciary Rule
Massachusetts Starts Enforcing Its Fiduciary Rule
Sep 1, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
Hundreds of Firms Failed to Disclose Misdeeds on Forms CRS, WSJ Says
Hundreds of Firms Failed to Disclose Misdeeds on Forms CRS, WSJ Says
Aug 31, 2020
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1 Min Read
byDiana Britton, Managing Editor
US SEC building in Washington, D.C., 2008
Regulation & Compliance
SEC Pulls Plug on Florida Advisor's Private Fund
SEC Pulls Plug on Florida Advisor's Private Fund
Aug 26, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Chair Jay Clayton
Regulation & Compliance
SEC Votes to Expand 'Accredited Investor' Definition
SEC Votes to Expand 'Accredited Investor' Definition
Aug 26, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
green-globe-investing.jpg
Regulation & Compliance
ESG Proponents Weigh Impact of Increased Regulatory Scrutiny
ESG Proponents Weigh Impact of Increased Regulatory Scrutiny
Aug 25, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
U.S. Department of Labor
Regulation & Compliance
DOL to Hold Public Hearing on Fiduciary Exemption Proposal
DOL to Hold Public Hearing on Fiduciary Exemption Proposal
Aug 24, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC
Regulation & Compliance
NPB Financial Group Settles SEC Charges Over Share Class Violations
NPB Financial Group Settles SEC Charges Over Share Class Violations
Aug 21, 2020
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1 Min Read
byDiana Britton, Managing Editor
DOL sign
Regulation & Compliance
Majority of Investment Industry Opposes DOL’s ESG Proposal
Majority of Investment Industry Opposes DOL’s ESG Proposal
Aug 20, 2020
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1 Min Read
byDiana Britton, Managing Editor
conversation
Regulation & Compliance
Advisors Say Clients Not Responding to Form CRS
Advisors Say Clients Not Responding to Form CRS
Aug 17, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
SCF Investment Advisors Settles SEC Charges Over Share Class Violations
SCF Investment Advisors Settles SEC Charges Over Share Class Violations
Aug 14, 2020
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1 Min Read
byDiana Britton, Managing Editor

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