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Regulation & Compliance

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Regulation & Compliance
Fifth Circuit Again Denies States' Attempt to Intervene in Fiduciary Rule CaseFifth Circuit Again Denies States' Attempt to Intervene in Fiduciary Rule Case

For the second time, a three-judge panel ruled against the state attorneys general of New York, California and Oregon to intervene in the case against the DOL fiduciary rule.

byWealthManagement.com Staff
May 22, 2018
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1 Min Read
FINRA
Regulation & Compliance
FINRA to Reveal Reps’ Undisclosed Bankruptcies, Judgments and LiensFINRA to Reveal Reps’ Undisclosed Bankruptcies, Judgments and Liens
byDiana Britton
May 21, 2018
1 Min Read
Michael Cohen
Regulation & Compliance
Report: Morgan Stanley Filed a Suspicious Activity Report on Michael CohenReport: Morgan Stanley Filed a Suspicious Activity Report on Michael Cohen
byDiana Britton
May 18, 2018
1 Min Read
Howeycoins
Regulation & Compliance
The SEC Jumps on ICO Bandwagon. Just Kidding!The SEC Jumps on ICO Bandwagon. Just Kidding!
byWealthManagement.com Staff
May 17, 2018
1 Min Read
Representative Ann Wagner
Regulation & Compliance
House Republicans Lay Into SEC Enforcement Chiefs Over In-House JudgesHouse Republicans Lay Into SEC Enforcement Chiefs Over In-House Judges
byDiana Britton
May 16, 2018
1 Min Read
Joe Borg
Regulation & Compliance
NASAA: New House Bill Would “Handcuff” State RegulatorsNASAA: New House Bill Would “Handcuff” State Regulators
byDiana Britton
May 8, 2018
1 Min Read
DOL building sign
Regulation & Compliance
DOL Announces Temporary Enforcement Policy on Fiduciary Rule 2018
DOL Announces Temporary Enforcement Policy on Fiduciary Rule
May 8, 2018
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1 Min Read
byWealthManagement.com Staff
LPL Financial
Regulation & Compliance
LPL Dinged Up to $26 Million over Sales of Unregistered Securities
LPL Dinged Up to $26 Million over Sales of Unregistered Securities
May 2, 2018
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1 Min Read
byDiana Britton, Managing Editor
courthouse columns
Regulation & Compliance
DOL Rule One Step Closer to Death
DOL Rule One Step Closer to Death
May 1, 2018
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1 Min Read
byDiana Britton, Managing Editor
SEC seal
Regulation & Compliance
Commentary: Fiduciary Duties Need to Include Non-Conflicted Investment Research
Commentary: Fiduciary Duties Need to Include Non-Conflicted Investment Research
Apr 27, 2018
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1 Min Read
byDavid Trainer
AARP sign
Regulation & Compliance
AARP, States Fight to Keep DOL Rule Alive
AARP, States Fight to Keep DOL Rule Alive
Apr 26, 2018
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1 Min Read
byDiana Britton, Managing Editor
Wells Fargo
Regulation & Compliance
Wells Fargo's 401(k) Practices Being Examined by Labor Department
Wells Fargo's 401(k) Practices Being Examined by Labor Department
Apr 26, 2018
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1 Min Read
byReuters
department of labor
Regulation & Compliance
Labor Department Says Do-Good Investments Not Always 'Prudent'
Labor Department Says Do-Good Investments Not Always 'Prudent'
Apr 25, 2018
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1 Min Read
finra
Regulation & Compliance
Finra’s Organizational Changes Meant to “Foster Engagement, Enhance Transparency”
Finra’s Organizational Changes Meant to “Foster Engagement, Enhance Transparency”
Apr 25, 2018
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1 Min Read
byWealthManagement.com Staff
Hightower Advisors CEO Elliot Weissbluth
Regulation & Compliance
The SEC’s “Best Interest” Proposal Just Prolongs the Status Quo
The SEC’s “Best Interest” Proposal Just Prolongs the Status Quo
Apr 20, 2018
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1 Min Read
byElliot Weissbluth, CEO
Wells Fargo
Regulation & Compliance
Wells Fargo Fined $1 Billion Over Consumer-Business Missteps
Wells Fargo Fined $1 Billion Over Consumer-Business Missteps
Apr 20, 2018
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1 Min Read
SEC building
Regulation & Compliance
Advisors Greet SEC’s Best Interest Proposal with Skepticism
Advisors Greet SEC’s Best Interest Proposal with Skepticism
Apr 19, 2018
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1 Min Read
byDavid H. Lenok, Senior Editor
merrill lynch
Regulation & Compliance
Merrill Lynch Gives Up Fight Against Former Advisors’ Right to Arbitrate
Merrill Lynch Gives Up Fight Against Former Advisors’ Right to Arbitrate
Apr 3, 2018
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1 Min Read
byDiana Britton, Michael Thrasher
CFP Board office.
Regulation & Compliance
Will Brokerages Comply with CFP Board’s New Fiduciary Standard?
Will Brokerages Comply with CFP Board’s New Fiduciary Standard?
Mar 29, 2018
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1 Min Read
byDiana Britton, Managing Editor
finra
Regulation & Compliance
Broker Watchdogs Accused of Letting Sensitive Data Go Public
Broker Watchdogs Accused of Letting Sensitive Data Go Public
Mar 27, 2018
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1 Min Read
Robert Cook
Regulation & Compliance
FINRA CEO Welcomes Additional Oversight by SEC
FINRA CEO Welcomes Additional Oversight by SEC
Mar 20, 2018
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1 Min Read
byDiana Britton, Managing Editor
Jay Clayton SIFMA
Regulation & Compliance
Fifth Circuit Decision Hasn’t Changed Clayton’s Approach to Fiduciary Standard
Fifth Circuit Decision Hasn’t Changed Clayton’s Approach to Fiduciary Standard
Mar 19, 2018
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1 Min Read
byDiana Britton, Managing Editor
William Galvin
Regulation & Compliance
Massachusetts’ Galvin Urges Appeal of Court Decision on DOL Rule
Massachusetts’ Galvin Urges Appeal of Court Decision on DOL Rule
Mar 19, 2018
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1 Min Read
byWealthManagement.com Staff
department of labor
Regulation & Compliance
The Fiduciary Standard Has Already Been Set
The Fiduciary Standard Has Already Been Set
Mar 16, 2018
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1 Min Read
byDiana Britton, Managing Editor
courthouse columns
Regulation & Compliance
Court of Appeals Vacates DOL Fiduciary Rule
Court of Appeals Vacates DOL Fiduciary Rule
Mar 16, 2018
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1 Min Read
byDiana Britton, Managing Editor
William Galvin
Regulation & Compliance
RCS Creditor Trust Sues Galvin to Recover $3 Million Settlement
RCS Creditor Trust Sues Galvin to Recover $3 Million Settlement
Mar 14, 2018
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1 Min Read
byDiana Britton, Managing Editor
empty courtroom
Regulation & Compliance
Unpaid Arbitration Claims Persisted in 2017, PIABA Says
Unpaid Arbitration Claims Persisted in 2017, PIABA Says
Mar 7, 2018
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1 Min Read
byDiana Britton, Managing Editor
Ameriprise Financial
Regulation & Compliance
SEC: Ameriprise Settles Claims It Sold High-Priced Share Classes
SEC: Ameriprise Settles Claims It Sold High-Priced Share Classes
Mar 1, 2018
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1 Min Read
byDiana Britton, Managing Editor
Phyllis Borzi
Regulation & Compliance
Borzi on Scottrade: “These People Were the Poster Child for Why We Did the Rule”
Borzi on Scottrade: “These People Were the Poster Child for Why We Did the Rule”
Feb 23, 2018
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1 Min Read
byDiana Britton, Managing Editor
Scottrade
Regulation & Compliance
Lawsuit Appellants: State Case Against Scottrade Highlights Why DOL Rule Needs to Go
Lawsuit Appellants: State Case Against Scottrade Highlights Why DOL Rule Needs to Go
Feb 21, 2018
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1 Min Read
byDiana Britton, Managing Editor
Scottrade
Regulation & Compliance
Massachusetts Charges Scottrade with Violating DOL Rule
Massachusetts Charges Scottrade with Violating DOL Rule
Feb 15, 2018
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1 Min Read
byDiana Britton, Managing Editor
SEC building
Regulation & Compliance
SEC to Increase Exam Funding for Fiscal Year 2019
SEC to Increase Exam Funding for Fiscal Year 2019
Feb 13, 2018
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1 Min Read
byDiana Britton, Managing Editor
empty courtroom
Regulation & Compliance
FINRA: Clients May Win Arbitration, But Many Firms Fail to Pay
FINRA: Clients May Win Arbitration, But Many Firms Fail to Pay
Feb 9, 2018
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1 Min Read
byDiana Britton, Managing Editor
SEC building
Regulation & Compliance
Fee Transparency on SEC’s 2018 Hit List
Fee Transparency on SEC’s 2018 Hit List
Feb 8, 2018
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1 Min Read
byDiana Britton, Managing Editor
elder abuse
Regulation & Compliance
New FINRA Rules Aimed at Senior Protection Take Effect
New FINRA Rules Aimed at Senior Protection Take Effect
Feb 6, 2018
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1 Min Read
byWealthManagement.com Staff

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