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Regulation & Compliance

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Regulation & Compliance

Advisory Firms Have a Ways to Go on 'Lasting' Reg BI Compliance Advisory Firms Have a Ways to Go on 'Lasting' Reg BI Compliance

In a conversation during Riskalyze Fearless Week, Docupace CEO David Knoch also spoke about the new DOL rule and the need for trackable documentation for firms' Form CRS.

byPatrick Donachie, Senior Reporter

Aug 13, 2020

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1 Min Read

US SEC building in Washington, D.C., 2008

Regulation & Compliance

SEC Risk Alert Outlines COVID-19 Compliance Perils SEC Risk Alert Outlines COVID-19 Compliance Perils

byPatrick Donachie

Aug 13, 2020

1 Min Read

Regulation & Compliance

Interactive Brokers Hit with $38M in Fines Interactive Brokers Hit with $38M in Fines

Aug 10, 2020

1 Min Read

Regulation & Compliance

FINRA Elects Board Members Representing Small, Large Firms FINRA Elects Board Members Representing Small, Large Firms

byPatrick Donachie

Aug 10, 2020

1 Min Read

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Regulation & Compliance

Former New York Advisor Charged With Insider Trading Former New York Advisor Charged With Insider Trading

byDiana Britton

Aug 7, 2020

1 Min Read

Regulation & Compliance

State Attorneys General, Fiduciary Advocates Say DOL Advice Proposal Falls Short State Attorneys General, Fiduciary Advocates Say DOL Advice Proposal Falls Short

byPatrick Donachie

Aug 6, 2020

1 Min Read

Regulation & Compliance

Senate Approves SEC Nominees Crenshaw, Peirce in Voice Vote

Senate Approves SEC Nominees Crenshaw, Peirce in Voice Vote

byPatrick Donachie, Senior Reporter

Regulation & Compliance

What Regulatory Reforms Could a Biden Term Bring?

What Regulatory Reforms Could a Biden Term Bring?

byPatrick Donachie, Senior Reporter

Regulation & Compliance

FINRA Sees Sharper Decline in Reps While Dual-Registrant Numbers Continue to Rise

FINRA Sees Sharper Decline in Reps While Dual-Registrant Numbers Continue to Rise

byPatrick Donachie, Senior Reporter

Regulation & Compliance

Can Reg BI, the DOL Rule Be Undone by Democrats?

Can Reg BI, the DOL Rule Be Undone by Democrats?

byDiana Britton, Managing Editor

US SEC building in Washington, D.C., 2008

Regulation & Compliance

SEC Announces Roundtable for Form CRS Issues

SEC Announces Roundtable for Form CRS Issues

byPatrick Donachie, Senior Reporter

SEC Seal

Regulation & Compliance

SEC: Michigan Advisor Fooled Clients With Fictitious Investment

SEC: Michigan Advisor Fooled Clients With Fictitious Investment

byPatrick Donachie, Senior Reporter

UBS

Regulation & Compliance

UBS Settles with SEC for $10 Million Over Municipal Bond 'Flipping'

UBS Settles with SEC for $10 Million Over Municipal Bond 'Flipping'

byAsia Martin, Reporter

Regulation & Compliance

SEC Nominees Face Questions on Reg BI, COVID-19 in Senate Hearing

SEC Nominees Face Questions on Reg BI, COVID-19 in Senate Hearing

byPatrick Donachie, Senior Reporter

Regulation & Compliance

Cure for Branch Exams During COVID-19: A Hybrid Approach

Cure for Branch Exams During COVID-19: A Hybrid Approach

bySander J. Ressler

FINRA

Regulation & Compliance

FINRA’s Series 7 Testing Goes Virtual

FINRA’s Series 7 Testing Goes Virtual

byDiana Britton, Managing Editor

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Regulation & Compliance

How Many RIA Jobs Were Supported by PPP Loans Remains a Mystery

How Many RIA Jobs Were Supported by PPP Loans Remains a Mystery

byPatrick Donachie, Senior Reporter

SEC Seal

Regulation & Compliance

SEC: Crypto App Skirted Federal Securities Law

SEC: Crypto App Skirted Federal Securities Law

byPatrick Donachie, Senior Reporter

Regulation & Compliance

Small Advisory Firms May Have Received $678 Million in PPP Loans

Small Advisory Firms May Have Received $678 Million in PPP Loans

byPatrick Donachie, Senior Reporter

SEC building

Regulation & Compliance

Two Former deVere Execs to Pay $750,000 for Overseas Pension Transfer Violations

Two Former deVere Execs to Pay $750,000 for Overseas Pension Transfer Violations

byDiana Britton, Managing Editor

Regulation & Compliance

GPB Capital Gets PPP Loan Despite Regulatory Scrutiny

GPB Capital Gets PPP Loan Despite Regulatory Scrutiny

byPatrick Donachie, Senior Reporter

DOL building sign

Regulation & Compliance

Consumer Advocates Call for Longer DOL Fiduciary Rule Comment Period

Consumer Advocates Call for Longer DOL Fiduciary Rule Comment Period

byPatrick Donachie, Senior Reporter

Regulation & Compliance

Almost 2,000 Financial Advisory Firms Received PPP Loans, but a Full Count Remains Unclear

Almost 2,000 Financial Advisory Firms Received PPP Loans, but a Full Count Remains Unclear

byPatrick Donachie, Senior Reporter

Regulation & Compliance

NASAA Proposes Restitution Funds for Victims of Securities Violations

NASAA Proposes Restitution Funds for Victims of Securities Violations

byPatrick Donachie, Senior Reporter

DOL sign

Regulation & Compliance

DOL Rule's Rollover Exemption a Surprise. But Is It Enforceable?

DOL Rule's Rollover Exemption a Surprise. But Is It Enforceable?

byPatrick Donachie, Senior Reporter

SEC seal

Regulation & Compliance

Temenos Advisory Ordered to Pay $2 Million Over Risky Investments

Temenos Advisory Ordered to Pay $2 Million Over Risky Investments

byDiana Britton, Managing Editor

5 trends shaping the class-action litigation landscape

Regulation & Compliance

More Litigation Hits Brokers Who Sold GPB Private Placements

More Litigation Hits Brokers Who Sold GPB Private Placements

byDiana Britton, Managing Editor

SEC Seal

Regulation & Compliance

SEC's Reg BI Takes Effect

SEC's Reg BI Takes Effect

byPatrick Donachie, Senior Reporter

Labor Secretary Eugene Scalia

Regulation & Compliance

DOL Reveals Revised Fiduciary Rule

DOL Reveals Revised Fiduciary Rule

byPatrick Donachie, Senior Reporter

Supreme Court Rules Against Obama Recess Appointments

Regulation & Compliance

Supreme Court Backs President’s Power to Fire CFPB Director

Supreme Court Backs President’s Power to Fire CFPB Director

Michael Kitces

Regulation & Compliance

Reg BI Ruling Is Not the End of Fiduciary Advocacy Efforts

Reg BI Ruling Is Not the End of Fiduciary Advocacy Efforts

byPatrick Donachie, Senior Reporter

SEC seal

Regulation & Compliance

Court Rules Against XYPN, States in Suit to Stop Reg BI

Court Rules Against XYPN, States in Suit to Stop Reg BI

byDiana Britton, Managing Editor

NYSE

Regulation & Compliance

Banks Get Easier Volcker Rule and $40 Billion Break on Swaps

Banks Get Easier Volcker Rule and $40 Billion Break on Swaps

byJesse Hamilton

CFP Board CEO Kevin Keller

Regulation & Compliance

CFP Board Tightens Enforcement Ahead of Code of Ethics Implementation Date

CFP Board Tightens Enforcement Ahead of Code of Ethics Implementation Date

byDiana Britton, Managing Editor

5. Supreme Court decides online sales tax issue

Regulation & Compliance

Supreme Court Rules SEC Disgorgement Can Stay (With Caveats)

Supreme Court Rules SEC Disgorgement Can Stay (With Caveats)

byPatrick Donachie, Senior Reporter