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Regulation & Compliance

FINRA
Regulation & Compliance
FINRA Updates Suitability Rule Language to Align With Reg BIFINRA Updates Suitability Rule Language to Align With Reg BI

The regulatory agency for broker/dealers has changed language to make clear that its rule would not apply to recommendations covered by the SEC's rule, which will be implemented on June 30.

byPatrick Donachie, Senior Reporter
Jun 19, 2020
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1 Min Read
Phyllis Borzi
Regulation & Compliance
Former Obama Official Challenges FSI’s ‘Regulation by Enforcement’ ArgumentFormer Obama Official Challenges FSI’s ‘Regulation by Enforcement’ Argument
byPatrick Donachie
Jun 17, 2020
1 Min Read
SEC building
Regulation & Compliance
Reg BI Has Broader Scope Than Many ThinkReg BI Has Broader Scope Than Many Think
byEthan L. Silver
Jun 17, 2020
1 Min Read
SEC Chair Jay Clayton
Regulation & Compliance
Clayton Says COVID-19 Underscores Need for Reg BIClayton Says COVID-19 Underscores Need for Reg BI
byPatrick Donachie
Jun 16, 2020
1 Min Read
rhode-island-quarter.jpg
Regulation & Compliance
Two States Push Rules Requiring Form CRS From State-Registered AdvisorsTwo States Push Rules Requiring Form CRS From State-Registered Advisors
byPatrick Donachie
Jun 15, 2020
1 Min Read
US SEC building in Washington, D.C., 2008
Regulation & Compliance
SEC Charges Trader in COVID-19 Blood Test 'Pump and Dump' SchemeSEC Charges Trader in COVID-19 Blood Test 'Pump and Dump' Scheme
Jun 10, 2020
1 Min Read
congress
Regulation & Compliance
Focus Financial Network, More Large RIAs Disclose PPP Loans as Congress Passes Changes to Program
Focus Financial Network, More Large RIAs Disclose PPP Loans as Congress Passes Changes to Program
Jun 4, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
Merrill Lynch to Pay $7.2 Million for Mutual Fund Fee Violations
Regulation & Compliance
Merrill Lynch to Pay $7.2 Million for Mutual Fund Fee Violations
Merrill Lynch to Pay $7.2 Million for Mutual Fund Fee Violations
Jun 4, 2020
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1 Min Read
byDiana Britton, Managing Editor
Prioritization and Training Key for Reg BI Preparedness
Regulation & Compliance
Prioritization and Training Key for Reg BI Preparedness
Prioritization and Training Key for Reg BI Preparedness
Jun 3, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
DOL building sign
Regulation & Compliance
DOL Sends Revised Fiduciary Rule to White House for Review
DOL Sends Revised Fiduciary Rule to White House for Review
Jun 2, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
courthouse-columns-close.jpg
Regulation & Compliance
Oral Arguments Begin in XYPN's Suit to Stop Reg BI
Oral Arguments Begin in XYPN's Suit to Stop Reg BI
Jun 2, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
CFP Board office.
Regulation & Compliance
CFP Board Unveils Revised Procedural Rules
CFP Board Unveils Revised Procedural Rules
May 29, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA
Regulation & Compliance
Stifel Settles With FINRA For More Than $3 Million Over UITs
Stifel Settles With FINRA For More Than $3 Million Over UITs
May 28, 2020
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1 Min Read
byErick Bergquist
Josh Brown
Regulation & Compliance
Ritholtz CEO Josh Brown Knocks PPP Criticism as More Firms Disclose Loans
Ritholtz CEO Josh Brown Knocks PPP Criticism as More Firms Disclose Loans
May 28, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
cash-wad_0.jpg
Regulation & Compliance
Atlanta RIA With $3 Billion Takes PPP Loan for COVID-19 Relief
Atlanta RIA With $3 Billion Takes PPP Loan for COVID-19 Relief
May 27, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
stack-of-money
Regulation & Compliance
Sanctuary Wealth Receives PPP Loan
Sanctuary Wealth Receives PPP Loan
May 26, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
money-blurred-hands.jpg
Regulation & Compliance
Tennessee RIA With $2 Billion in AUM Gets PPP Loan
Tennessee RIA With $2 Billion in AUM Gets PPP Loan
May 22, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
dollars flag
Regulation & Compliance
Two More RIAs With Billions in Assets Receive PPP Loans
Two More RIAs With Billions in Assets Receive PPP Loans
May 21, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
wealthquest-office-window.png
Regulation & Compliance
$1B AUM Wealthquest Receives PPP Loan
$1B AUM Wealthquest Receives PPP Loan
May 21, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
david wismer
Regulation & Compliance
Former Advisor, Sex Offender Returns to Prison for Violating Probation
Former Advisor, Sex Offender Returns to Prison for Violating Probation
May 21, 2020
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1 Min Read
byDiana Britton, Managing Editor
finra
Regulation & Compliance
FINRA Pledges to Avoid Playing 'Gotcha' with Reg BI Enforcement
FINRA Pledges to Avoid Playing 'Gotcha' with Reg BI Enforcement
May 19, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA
Regulation & Compliance
How Will Compliance Exams Shift Post-Reg BI?
How Will Compliance Exams Shift Post-Reg BI?
May 18, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
morningstar signs
Regulation & Compliance
SEC Hits Morningstar Credit Ratings With $3.5 Million Penalty
SEC Hits Morningstar Credit Ratings With $3.5 Million Penalty
May 15, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
SEC Charges Ambassador Advisors With Breach of Fiduciary Duty
SEC Charges Ambassador Advisors With Breach of Fiduciary Duty
May 14, 2020
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1 Min Read
byAsia Martin, Reporter
Morgan Stanley
Regulation & Compliance
Morgan Stanley Takes $5 Million Hit Over Wrap-Fee Violations
Morgan Stanley Takes $5 Million Hit Over Wrap-Fee Violations
May 12, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
thecapitol.jpg
Regulation & Compliance
Advocates Say PPP Disclosure May Put RIAs at a Disadvantage
Advocates Say PPP Disclosure May Put RIAs at a Disadvantage
May 5, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
New FINRA Task Force Seeks Out COVID-19 Fraud
Regulation & Compliance
New FINRA Task Force Seeks Out COVID-19 Fraud
New FINRA Task Force Seeks Out COVID-19 Fraud
May 1, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
US SEC building in Washington, D.C., 2008
Regulation & Compliance
FSI Hits SEC for 'Regulation by Enforcement'
FSI Hits SEC for 'Regulation by Enforcement'
Apr 29, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
capitol-hill-fence.jpg
Regulation & Compliance
Some RIAs Denied PPP Loans, Leaving Advisors Puzzled
Some RIAs Denied PPP Loans, Leaving Advisors Puzzled
Apr 29, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Settles With Merrill, Two Others Over Share Class Conflicts
Regulation & Compliance
SEC Settles With Merrill, Two Others Over Share Class Conflicts
SEC Settles With Merrill, Two Others Over Share Class Conflicts
Apr 20, 2020
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1 Min Read
byDiana Britton, Managing Editor
SEC Headquarters
Regulation & Compliance
XYPN Submits Final Brief in Suit Challenging Reg BI
XYPN Submits Final Brief in Suit Challenging Reg BI
Apr 15, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
cramped home office
Regulation & Compliance
NASAA Moves Forward With CE Requirement for Investment Advisor Reps
NASAA Moves Forward With CE Requirement for Investment Advisor Reps
Apr 14, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA
Regulation & Compliance
FINRA Releases Reg BI Preparedness Road Map
FINRA Releases Reg BI Preparedness Road Map
Apr 9, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
SEC Issues Guidance on Reg BI, Form CRS Examinations
SEC Issues Guidance on Reg BI, Form CRS Examinations
Apr 7, 2020
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1 Min Read
byPatrick Donachie, Senior Reporter
sec-flag-seal.jpg
Regulation & Compliance
Cantor Fitzgerald Settles Charges Related to Blue Sheet Violations
Cantor Fitzgerald Settles Charges Related to Blue Sheet Violations
Apr 7, 2020
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1 Min Read
byDiana Britton, Managing Editor

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