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Regulation & Compliance

Nick Schorsch
Regulation & Compliance
Nick Schorsch, AR Capital to Pay SEC $60 Million for FraudNick Schorsch, AR Capital to Pay SEC $60 Million for Fraud

The SEC charged AR Capital, its founder, Nick Schorsch, and CFO Brian Block with fraudulently profiting off of REIT mergers.

byWealthManagement.com Staff
Jul 16, 2019
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1 Min Read
CFP Board office.
Regulation & Compliance
CFP Board Delays Enforcement Date for New StandardsCFP Board Delays Enforcement Date for New Standards
byDiana Britton
Jul 16, 2019
1 Min Read
U.S. House Passes Resolution Urging the SEC to Work With State Securities Regulators
Regulation & Compliance
U.S. House Passes Resolution Urging the SEC to Work With State Securities RegulatorsU.S. House Passes Resolution Urging the SEC to Work With State Securities Regulators
byDiana Britton
Jul 10, 2019
1 Min Read
finra
Regulation & Compliance
FINRA: Summit Did Not Review Excessive Trading WarningsFINRA: Summit Did Not Review Excessive Trading Warnings
byPatrick Donachie
Jul 2, 2019
1 Min Read
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Regulation & Compliance
You Can Act Like a Fiduciary Regardless of What the Law SaysYou Can Act Like a Fiduciary Regardless of What the Law Says
byScott MacKillop
Jun 27, 2019
1 Min Read
SEC
Regulation & Compliance
SEC Considers Expanding the Accredited Investor DefinitionSEC Considers Expanding the Accredited Investor Definition
byDiana Britton
Jun 19, 2019
1 Min Read
SEC seal
Regulation & Compliance
RIAs No Longer Required to Use Word 'Fiduciary' in Disclosures
RIAs No Longer Required to Use Word 'Fiduciary' in Disclosures
Jun 18, 2019
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1 Min Read
byDiana Britton, Managing Editor
new jersey postcard
Regulation & Compliance
Brokers Look to Quash New Jersey Conflict Rule After Federal Win
Brokers Look to Quash New Jersey Conflict Rule After Federal Win
Jun 17, 2019
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1 Min Read
Charles Schwab office
Regulation & Compliance
Schwab: Fight Over Fiduciary Interpretation Is ‘Semantics’
Schwab: Fight Over Fiduciary Interpretation Is ‘Semantics’
Jun 13, 2019
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1 Min Read
byDiana Britton, Managing Editor
Screen Shot 2019-06-06 at 3.54.27 PM.png
Regulation & Compliance
SEC Commissioner Study Links 'Clients First' Language to Less-Conflicted Advice
SEC Commissioner Study Links 'Clients First' Language to Less-Conflicted Advice
Jun 6, 2019
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1 Min Read
byDiana Britton, Managing Editor
sec-commission-regbi.png
Regulation & Compliance
SEC Approves Regulation Best Interest
SEC Approves Regulation Best Interest
Jun 5, 2019
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1 Min Read
byDiana Britton, Managing Editor
Jay Clayton
Regulation & Compliance
What Advisors Should Expect as the SEC Votes on Reg BI
What Advisors Should Expect as the SEC Votes on Reg BI
Jun 4, 2019
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1 Min Read
byDiana Britton, Samuel Steinberger
SEC Seal
Regulation & Compliance
SEC: North Carolina RIA Misled and Overcharged Clients
SEC: North Carolina RIA Misled and Overcharged Clients
May 28, 2019
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Chair Jay Clayton
Regulation & Compliance
What Fiduciaries Should Expect from Regulation Best Interest
What Fiduciaries Should Expect from Regulation Best Interest
May 24, 2019
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1 Min Read
byScott MacKillop, CEO
SEC building
Regulation & Compliance
SEC's Regulation Best Interest Goes to a Vote on June 5
SEC's Regulation Best Interest Goes to a Vote on June 5
May 24, 2019
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1 Min Read
byDiana Britton, Managing Editor
tablet digital lock
Regulation & Compliance
States Adopt Model Rule Around Information Security
States Adopt Model Rule Around Information Security
May 21, 2019
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1 Min Read
byDiana Britton, Managing Editor
Robert Cook
Regulation & Compliance
FINRA: High-Risk B/Ds Had Nine Times More Misconduct Events
FINRA: High-Risk B/Ds Had Nine Times More Misconduct Events
May 15, 2019
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1 Min Read
byDiana Britton, Managing Editor
New Jersey Gov. Phil Murphy
Regulation & Compliance
N.J. Governor Vetoes Bill Saying Insurance Agents Are Not Fiduciaries
N.J. Governor Vetoes Bill Saying Insurance Agents Are Not Fiduciaries
May 13, 2019
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1 Min Read
byDiana Britton, Managing Editor
FINRA
Regulation & Compliance
Two Brokers Awarded Over $6 Million in Claim Against Credit Suisse
Two Brokers Awarded Over $6 Million in Claim Against Credit Suisse
May 8, 2019
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1 Min Read
byDan Whateley, Intern
William Galvin
Regulation & Compliance
Janney Charged Over Broker's Inappropriate Mutual Fund Sales
Janney Charged Over Broker's Inappropriate Mutual Fund Sales
May 7, 2019
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA
Regulation & Compliance
FINRA Claims AXA Misrepresented 401(k) Funds to Over 6,000 Clients
FINRA Claims AXA Misrepresented 401(k) Funds to Over 6,000 Clients
May 2, 2019
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1 Min Read
byDan Whateley, Intern
AXA
Regulation & Compliance
AXA to Pay $3.2 Million Arbitration Award to Elderly Poultry Farmers
AXA to Pay $3.2 Million Arbitration Award to Elderly Poultry Farmers
May 1, 2019
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1 Min Read
byDiana Britton, Managing Editor
marijuana
Regulation & Compliance
Advisor Charged in Medical Marijuana Scheme
Advisor Charged in Medical Marijuana Scheme
Apr 17, 2019
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1 Min Read
byDan Whateley, Intern
New Jersey Gov. Phil Murphy
Regulation & Compliance
New Jersey Proposes Uniform Fiduciary Rule for Brokers and Advisors
New Jersey Proposes Uniform Fiduciary Rule for Brokers and Advisors
Apr 16, 2019
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
Op Ed: The SEC Needs to Keep a Decades-Old Promise to the Investing Public
Op Ed: The SEC Needs to Keep a Decades-Old Promise to the Investing Public
Apr 16, 2019
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1 Min Read
byScott MacKillop, CEO
businessman handcuffed
Regulation & Compliance
Woodbridge Execs Arrested, Charged in $1.2 Billion Ponzi Scheme
Woodbridge Execs Arrested, Charged in $1.2 Billion Ponzi Scheme
Apr 12, 2019
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1 Min Read
byDiana Britton, Managing Editor
Michael San Nicholas
Regulation & Compliance
Congressional Panel Debates Mandatory Arbitration
Congressional Panel Debates Mandatory Arbitration
Apr 4, 2019
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1 Min Read
byDiana Britton, Managing Editor
U.S. Sen. Mike Crapo
Regulation & Compliance
Should Index Funds Be Bound by a Fiduciary Standard?
Should Index Funds Be Bound by a Fiduciary Standard?
Apr 2, 2019
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1 Min Read
byDiana Britton, Managing Editor
SEC Seal
Regulation & Compliance
New Jersey Man Charged in Overbilling Scheme at RIA
New Jersey Man Charged in Overbilling Scheme at RIA
Mar 28, 2019
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1 Min Read
byDiana Britton, Managing Editor
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Regulation & Compliance
Supreme Court Buttresses SEC's Power, Rules Against Banker
Supreme Court Buttresses SEC's Power, Rules Against Banker
Mar 27, 2019
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1 Min Read
Merrill Lynch
Regulation & Compliance
Merrill Lynch Hit With $8 Million Fine Over Abusive ADR Practices
Merrill Lynch Hit With $8 Million Fine Over Abusive ADR Practices
Mar 22, 2019
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1 Min Read
byDiana Britton, Managing Editor
computer presentation
Regulation & Compliance
Content is King, but Compliance is Critical
Content is King, but Compliance is Critical
Mar 15, 2019
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1 Min Read
Maxine Waters
Regulation & Compliance
Maxine Waters to Wells Fargo: Get Rid of Tim Sloan
Maxine Waters to Wells Fargo: Get Rid of Tim Sloan
Mar 14, 2019
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1 Min Read
byDiana Britton, Managing Editor
Maxine Waters
Regulation & Compliance
Draft Bill Calls for the SEC to Conduct Usability Testing of Disclosures
Draft Bill Calls for the SEC to Conduct Usability Testing of Disclosures
Mar 14, 2019
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1 Min Read
byDiana Britton, Managing Editor
Maryland State House
Regulation & Compliance
Advisors Appeal to Maryland General Assembly on State's Fiduciary Rule
Advisors Appeal to Maryland General Assembly on State's Fiduciary Rule
Mar 14, 2019
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1 Min Read
byDiana Britton, Managing Editor

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