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Regulation & Compliance

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Regulation & Compliance
Mobile Technology Compliance Still an IssueMobile Technology Compliance Still an Issue

Compliance and archiving firm Smarsh found lingering questions around mobile, still a potential issue for financial services firms.

byDavis Janowski, Senior Technology Editor, WealthManagement.com
Oct 18, 2018
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1 Min Read
state flags
Regulation & Compliance
States Are Taking Up the Fiduciary BannerStates Are Taking Up the Fiduciary Banner
byMark Miller
Oct 15, 2018
1 Min Read
businessman with fingers crossed behind back
Regulation & Compliance
Higher Number of RIAs Run Afoul of State RegulatorsHigher Number of RIAs Run Afoul of State Regulators
byDiana Britton
Oct 11, 2018
1 Min Read
NASAA President Mike Pieciak
Regulation & Compliance
Despite Some States’ Actions, NASAA is Focusing on SEC’s Reg BIDespite Some States’ Actions, NASAA is Focusing on SEC’s Reg BI
byDiana Britton
Oct 9, 2018
1 Min Read
gavel and money
Regulation & Compliance
U.S. Was the Global Leader in Fines Against Financial Firms Last YearU.S. Was the Global Leader in Fines Against Financial Firms Last Year
byDiana Britton
Oct 5, 2018
1 Min Read
Andrew Stoltmann
Regulation & Compliance
PIABA Blasts FINRA’s New OBA Supervisory RulesPIABA Blasts FINRA’s New OBA Supervisory Rules
byDiana Britton
Oct 4, 2018
1 Min Read
ozark
Regulation & Compliance
How to Avoid Becoming a Money Launderer Like Ozark’s Marty Byrde
How to Avoid Becoming a Money Launderer Like Ozark’s Marty Byrde
Oct 4, 2018
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1 Min Read
byDon Andrews
Renaud Laplanche LendingClub
Regulation & Compliance
LendingClub Sub Failed to Meet Fiduciary Duty, SEC Says
LendingClub Sub Failed to Meet Fiduciary Duty, SEC Says
Sep 28, 2018
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1 Min Read
byDiana Britton, Managing Editor
Stephen Lynch Congress
Regulation & Compliance
Congressman Pushes Back on Regulation Best Interest
Congressman Pushes Back on Regulation Best Interest
Sep 27, 2018
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1 Min Read
byDiana Britton, Managing Editor
voya
Regulation & Compliance
Voya to Pay $1 Million Penalty for Cybersecurity Failures
Voya to Pay $1 Million Penalty for Cybersecurity Failures
Sep 26, 2018
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1 Min Read
byDiana Britton, Managing Editor
blockchain
Regulation & Compliance
CFP Board Boots Advisor for Blockchain Fund
CFP Board Boots Advisor for Blockchain Fund
Sep 25, 2018
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1 Min Read
byWealthManagement.com Staff
cybersecurity
Regulation & Compliance
State Regulators Seek Comments on New Cybersecurity Rules
State Regulators Seek Comments on New Cybersecurity Rules
Sep 24, 2018
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1 Min Read
byDiana Britton, Managing Editor
SEC Seal
Regulation & Compliance
The SEC’s Best Interest Rule Doesn’t Go Far Enough
The SEC’s Best Interest Rule Doesn’t Go Far Enough
Sep 21, 2018
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1 Min Read
SEC building
Regulation & Compliance
Reg BI Disclosure Does Not Pass Readability Test
Reg BI Disclosure Does Not Pass Readability Test
Sep 19, 2018
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1 Min Read
byDiana Britton, Managing Editor
Peter Mallouk
Regulation & Compliance
Creative Planning Nailed by SEC for Client Testimonials
Creative Planning Nailed by SEC for Client Testimonials
Sep 18, 2018
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1 Min Read
byDiana Britton, Managing Editor
Lehman Brothers
Regulation & Compliance
Ten Years Later, Americans Still Want to Rein in Wall Street
Ten Years Later, Americans Still Want to Rein in Wall Street
Sep 13, 2018
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1 Min Read
byDiana Britton, Managing Editor
Jay Clayton
Regulation & Compliance
Consumer, Financial Planning Groups Call for Changes to Reg BI’s Relationship Summary
Consumer, Financial Planning Groups Call for Changes to Reg BI’s Relationship Summary
Sep 13, 2018
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1 Min Read
byDiana Britton, Managing Editor
William Galvin
Regulation & Compliance
Massachusetts Securities Regulator Cracks Down on Private Placements
Massachusetts Securities Regulator Cracks Down on Private Placements
Sep 13, 2018
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1 Min Read
byDavid H. Lenok, Senior Editor
SEC Seal
Regulation & Compliance
Recently Acquired Cadaret, Grant Charged by SEC, FINRA
Recently Acquired Cadaret, Grant Charged by SEC, FINRA
Sep 11, 2018
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1 Min Read
byDiana Britton, Managing Editor
cryptocurrency-blockchain
Regulation & Compliance
FINRA Files First Crypto Complaint
FINRA Files First Crypto Complaint
Sep 11, 2018
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1 Min Read
bySamuel Steinberger, Senior Technology Editor
Jay Clayton
Regulation & Compliance
SEC Chairman Clayton Still Taking Suggestions on Regulation BI
SEC Chairman Clayton Still Taking Suggestions on Regulation BI
Aug 24, 2018
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1 Min Read
bySamuel Steinberger, Senior Technology Editor
SIFMA Ken Bentsen
Regulation & Compliance
SIFMA’s Bentsen: SEC Proposal “Brings the Rules Up to Where the Industry Already Is”
SIFMA’s Bentsen: SEC Proposal “Brings the Rules Up to Where the Industry Already Is”
Aug 15, 2018
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1 Min Read
byWealthManagement.com Staff
SEC commission
Regulation & Compliance
Democrats Blast Proposed U.S. Broker Rule, Industry Backs It
Democrats Blast Proposed U.S. Broker Rule, Industry Backs It
Aug 8, 2018
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1 Min Read
Elizabeth Warren
Regulation & Compliance
Worried About Broker Conflicts? The SEC Isn’t
Worried About Broker Conflicts? The SEC Isn’t
Aug 3, 2018
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1 Min Read
finra
Regulation & Compliance
FINRA Completes Merger of Enforcement Teams
FINRA Completes Merger of Enforcement Teams
Jul 27, 2018
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1 Min Read
byMichael Thrasher, Staff Writer
Donald Trump
Regulation & Compliance
Trump Forms Task Force on Combating Fraud
Trump Forms Task Force on Combating Fraud
Jul 12, 2018
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1 Min Read
byWealthManagement.com Staff
Jay Clayton
Regulation & Compliance
The Curious Case of the SEC’s Best Interest Standard
The Curious Case of the SEC’s Best Interest Standard
Jul 9, 2018
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1 Min Read
byScott MacKillop, CEO
stressed businessman
Regulation & Compliance
Five Ways to Improve Compliance—And Not Feel Overwhelmed
Five Ways to Improve Compliance—And Not Feel Overwhelmed
Jul 2, 2018
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1 Min Read
SEC seal
Regulation & Compliance
Coalition of RIAs Seeks to Sway SEC over Advisor/Broker Definitions
Coalition of RIAs Seeks to Sway SEC over Advisor/Broker Definitions
Jun 28, 2018
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1 Min Read
byWealthManagement.com Staff
Deutsche Bank
Regulation & Compliance
Deutsche Bank's U.S. Brokerage Fined $1.4 Million for Reporting Problems
Deutsche Bank's U.S. Brokerage Fined $1.4 Million for Reporting Problems
Jun 28, 2018
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1 Min Read
byReuters
Metlife building
Regulation & Compliance
MetLife Accused of Defrauding Investors Over Pension Reserves
MetLife Accused of Defrauding Investors Over Pension Reserves
Jun 27, 2018
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1 Min Read
SEC Seal
Regulation & Compliance
Industry Groups Talk Best-Interest Regulation, Disclosure Details With SEC Committee
Industry Groups Talk Best-Interest Regulation, Disclosure Details With SEC Committee
Jun 15, 2018
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1 Min Read
byMichael Thrasher, Staff Writer
SEC building
Regulation & Compliance
How Smart Are You About the SEC’s New Regulation Best Interest Rules?
How Smart Are You About the SEC’s New Regulation Best Interest Rules?
Jun 6, 2018
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25 Slides
byJohn Kador
FINRA building
Regulation & Compliance
FINRA Accelerates Its Retrospective Rule Review Program
FINRA Accelerates Its Retrospective Rule Review Program
May 23, 2018
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1 Min Read
byDiana Britton, Managing Editor
Robert Cook Jay Clatyon
Regulation & Compliance
SEC’s Clayton: “No Daylight” Between Advisor, Broker/Dealer Duties in Proposed Rules
SEC’s Clayton: “No Daylight” Between Advisor, Broker/Dealer Duties in Proposed Rules
May 23, 2018
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1 Min Read

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