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Regulation & Compliance

Carl Icahn
Regulation & Compliance
Icahn Reaches $2M SEC Settlement in Margin-Loan ProbeIcahn Reaches $2M SEC Settlement in Margin-Loan Probe

Icahn is being fined $500,000 and Icahn Enterprises LP will pay $1.5 million related to insufficient disclosure of how IEP units were pledged as collateral against his personal margin loans.

byCrystal Tse and Lydia Beyoud
Aug 19, 2024
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1 Min Read
sec-seal-new.jpg
Regulation & Compliance
SEC Charges 26 Firms for Off-Channel Communications ViolationsSEC Charges 26 Firms for Off-Channel Communications Violations
byDiana Britton
Aug 14, 2024
1 Min Read
Missouri Secretary of State Jay Ashcroft
Regulation & Compliance
Federal Court Judge Halts Missouri Anti-ESG RuleFederal Court Judge Halts Missouri Anti-ESG Rule
byPatrick Donachie
Aug 14, 2024
1 Min Read
SEC ponzi scheme drive planning yacht live more
Regulation & Compliance
SEC Accuses Atlanta-Based CEO of $300M Ponzi SchemeSEC Accuses Atlanta-Based CEO of $300M Ponzi Scheme
byPatrick Donachie
Aug 14, 2024
1 Min Read
SEC Seal
Regulation & Compliance
$3.7B RIA Pays $430K To Settle SEC Ad Rule Charges$3.7B RIA Pays $430K To Settle SEC Ad Rule Charges
byPatrick Donachie
Aug 9, 2024
1 Min Read
Raymond James building
Regulation & Compliance
Raymond James Nears SEC Settlement for Off-Channel CommunicationsRaymond James Nears SEC Settlement for Off-Channel Communications
byPatrick Donachie
Aug 9, 2024
1 Min Read
GPB Capital Founder Gentile Found Guilty in Ponzi-Like Fraud
Regulation & Compliance
GPB Capital Founder Gentile Found Guilty in Ponzi-Like Fraud
GPB Capital Founder Gentile Found Guilty in Ponzi-Like Fraud
Aug 2, 2024
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1 Min Read
byPatricia Hurtado and Avalon Pernell (Bloomberg)
FTC seal noncompete clauses
Regulation & Compliance
The Non-Compete Revolution Begins
The Non-Compete Revolution Begins
Jul 29, 2024
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1 Min Read
bySteven Clark
U.S. Department of Labor
Regulation & Compliance
Texas Court Stays DOL Fiduciary Rule
Texas Court Stays DOL Fiduciary Rule
Jul 26, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA-HQ.jpeg
Regulation & Compliance
FINRA Suspends Former Morgan Stanley Rep For Reg BI Violations
FINRA Suspends Former Morgan Stanley Rep For Reg BI Violations
Jul 18, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
ai-advisors-blocks.jpg
Regulation & Compliance
ACA Survey: Most Advisory Firms Have No Plans To Use AI Tools
ACA Survey: Most Advisory Firms Have No Plans To Use AI Tools
Jul 16, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA
Regulation & Compliance
Rep Cites Supreme Court Ruling Against SEC in Suit Challenging FINRA Hearings
Rep Cites Supreme Court Ruling Against SEC in Suit Challenging FINRA Hearings
Jul 11, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
FTC building non-compete clauses
Regulation & Compliance
FTC Ban on Worker Noncompete Agreements Delayed by Judge
FTC Ban on Worker Noncompete Agreements Delayed by Judge
Jul 5, 2024
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1 Min Read
byMadlin Mekelburg and Rachel Graf
Callagy Law Supreme Court
Regulation & Compliance
Supreme Court Decision Weakening SEC Could Boost Settlements, State Regulators’ Roles
Supreme Court Decision Weakening SEC Could Boost Settlements, State Regulators’ Roles
Jul 1, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
sec-seal-new.jpg
Regulation & Compliance
Supreme Court Curbs SEC’s In-House Judges in Fraud Cases
Supreme Court Curbs SEC’s In-House Judges in Fraud Cases
Jun 27, 2024
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1 Min Read
byGreg Stohr
Dollars white house capitol political contributions financial advisors
Regulation & Compliance
Recent Pay-to-Play Case Is Cautionary Tale for Advisors and Political Contributions
Recent Pay-to-Play Case Is Cautionary Tale for Advisors and Political Contributions
Jun 7, 2024
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1 Min Read
byDiana Britton, Managing Editor
SEC seal
Regulation & Compliance
Digital Regulation Is On the Rise. Don’t Ignore These Regulators
Digital Regulation Is On the Rise. Don’t Ignore These Regulators
Jun 6, 2024
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1 Min Read
byHarriet Christie
Founders Grove Wealth Partners RIA news
Regulation & Compliance
New Dynasty-Backed RIA Accuses Former Firm of Lack of Accountability, Body Shaming
New Dynasty-Backed RIA Accuses Former Firm of Lack of Accountability, Body Shaming
Jun 4, 2024
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1 Min Read
byDiana Britton, Managing Editor
courthouse columns
Regulation & Compliance
More Fiduciary Rule Critics Sue In Texas Federal Court
More Fiduciary Rule Critics Sue In Texas Federal Court
May 28, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
Interactive-Brokers-office.png
Regulation & Compliance
SEC Adopts Updated Cybersecurity Rules
SEC Adopts Updated Cybersecurity Rules
May 24, 2024
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1 Min Read
byRob Burgess, Technology Reporter
SEC Seal
Regulation & Compliance
SEC, Treasury Department Propose Anti-Money Laundering Rule for RIAs
SEC, Treasury Department Propose Anti-Money Laundering Rule for RIAs
May 13, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
computer business investing
Regulation & Compliance
Regulators Must Distinguish Financial Advisement from Investment Advisement
Regulators Must Distinguish Financial Advisement from Investment Advisement
May 13, 2024
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1 Min Read
byMichelle Richter-Gordon
commonwealth-building-NEW.jpg
Regulation & Compliance
Commonwealth Appeals $93M Share Class Ruling
Commonwealth Appeals $93M Share Class Ruling
May 7, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA Fines SoFi $1.1M For Customer ID, Identity Theft Oversight
Regulation & Compliance
FINRA Fines SoFi $1.1M For Customer ID, Identity Theft Oversight
FINRA Fines SoFi $1.1M For Customer ID, Identity Theft Oversight
May 6, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
robinhood-trading-app.jpg
Regulation & Compliance
Robinhood Markets Gets SEC Warning Tied to Crypto Business
Robinhood Markets Gets SEC Warning Tied to Crypto Business
May 6, 2024
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1 Min Read
byRick Green
US Department of Labor fidcuiary rule
Regulation & Compliance
DOL Fiduciary Rule Faces First Threat In The Courts
DOL Fiduciary Rule Faces First Threat In The Courts
May 3, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
FTC building non-compete clauses
Regulation & Compliance
FTC Non-Compete Ban Could Impact Wirehouses and Banks More Than RIAs
FTC Non-Compete Ban Could Impact Wirehouses and Banks More Than RIAs
May 1, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA Fines TD Ameritrade $600K for Missing 'Red Flags' in Options Trading Applications
Regulation & Compliance
FINRA Fines TD Ameritrade $600K for Missing 'Red Flags' in Options Trading Applications
FINRA Fines TD Ameritrade $600K for Missing 'Red Flags' in Options Trading Applications
Apr 29, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
department-labor-1-alex-wong-getty-71650004_0_1.jpg
Regulation & Compliance
DOL Critics, Supporters Sound Off on Final Fiduciary Rule
DOL Critics, Supporters Sound Off on Final Fiduciary Rule
Apr 24, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
department of labor
Regulation & Compliance
DOL Releases Final Fiduciary Rule 2024
DOL Releases Final Fiduciary Rule
Apr 23, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
SEC Examiners Find Firms Making Untrue Statements in Ads
SEC Examiners Find Firms Making Untrue Statements in Ads
Apr 19, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Ripping Off the Band-Aid of Self Reporting ‘Off-Channel’ Communications
Ripping Off the Band-Aid of Self Reporting ‘Off-Channel’ Communications
Apr 16, 2024
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1 Min Read
byHarriet Christie
colorado flag waving
Regulation & Compliance
Colorado Securities Head Moves to Halt 'Imposter' Firms
Colorado Securities Head Moves to Halt 'Imposter' Firms
Apr 15, 2024
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1 Min Read
byAli Hibbs, Reporter
SEC building
Regulation & Compliance
SEC Fines 5 More Firms For Ad Rule Violations
SEC Fines 5 More Firms For Ad Rule Violations
Apr 12, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
Texas Firm, Suspended Rep Are FINRA’s Latest Reg BI Targets
Regulation & Compliance
Texas Firm, Suspended Rep Are FINRA’s Latest Reg BI Targets
Texas Firm, Suspended Rep Are FINRA’s Latest Reg BI Targets
Apr 9, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter

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