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Regulation & Compliance

FINRA Cracks Down on Cryptos, Securities-Backed Lines of Credit
Regulation & Compliance
FINRA Cracks Down on Cryptos, Securities-Backed Lines of CreditFINRA Cracks Down on Cryptos, Securities-Backed Lines of Credit

In its annual priorities letter, the regulator flags some new areas of focus for 2018, including cryptocurrencies, securities-backed lines of credit and business continuity.

byDiana Britton, Managing Editor
Jan 9, 2018
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1 Min Read
bitcoin bubble
Regulation & Compliance
NASAA Cautions Investors on CryptocurrenciesNASAA Cautions Investors on Cryptocurrencies
byWealthManagement.com Staff
Jan 5, 2018
1 Min Read
raymond-james
Regulation & Compliance
FINRA Fines Raymond James’ Independent Arm $2 Million for Flawed Email ReviewFINRA Fines Raymond James’ Independent Arm $2 Million for Flawed Email Review
byDiana Britton
Dec 21, 2017
1 Min Read
FINRA building
Regulation & Compliance
PIABA Report: Non-Attorney Reps a Threat to Investors in ArbitrationPIABA Report: Non-Attorney Reps a Threat to Investors in Arbitration
byDiana Britton
Dec 19, 2017
1 Min Read
department of labor
Regulation & Compliance
Operating in a Post-DOL WorldOperating in a Post-DOL World
Nov 28, 2017
1 Min Read
SEC Seal
Regulation & Compliance
Surprise! The SEC Is Here! Are You Prepared?Surprise! The SEC Is Here! Are You Prepared?
Nov 22, 2017
1 Min Read
department-of-labor
Regulation & Compliance
DOL Sends Fiduciary Rule Delay to OMB
DOL Sends Fiduciary Rule Delay to OMB
Nov 2, 2017
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1 Min Read
byDiana Britton, Managing Editor
CFPB Director Richard Cordray
Regulation & Compliance
Is The Arbitration Debate Really Over?
Is The Arbitration Debate Really Over?
Oct 26, 2017
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1 Min Read
byWealthManagement.com Staff
compliance
Regulation & Compliance
Advisors Paying More for Compliance
Advisors Paying More for Compliance
Oct 9, 2017
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1 Min Read
byDiana Britton, Managing Editor
SEC Chair Jay Clayton
Regulation & Compliance
SEC Is Working on a Fiduciary Rule Proposal
SEC Is Working on a Fiduciary Rule Proposal
Oct 4, 2017
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1 Min Read
byDiana Britton, Managing Editor
Mike Tyson
Regulation & Compliance
Financial Advisor to Mike Tyson Sentenced to Prison
Financial Advisor to Mike Tyson Sentenced to Prison
Sep 13, 2017
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1 Min Read
byNicholas Ader, Intern
Luis Aguilar
Regulation & Compliance
Former SEC Commissioner Aguilar Optimistic About a Uniform Standard
Former SEC Commissioner Aguilar Optimistic About a Uniform Standard
Sep 7, 2017
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1 Min Read
byDiana Britton, Managing Editor
Cyber Security
Regulation & Compliance
The Big New York Cybersecurity Deadline Comes in February
The Big New York Cybersecurity Deadline Comes in February
Aug 31, 2017
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1 Min Read
byDavid H. Lenok, Senior Editor
SEC building
Regulation & Compliance
A Cure for Wall Street’s MiFID Migraine in the Works at SEC
A Cure for Wall Street’s MiFID Migraine in the Works at SEC
Aug 23, 2017
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1 Min Read
courtroom
Regulation & Compliance
Judge Pushes DOL on Exemptions, Authority Over IRAs
Judge Pushes DOL on Exemptions, Authority Over IRAs
Aug 1, 2017
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1 Min Read
byDiana Britton, Managing Editor
finra
Regulation & Compliance
FINRA: Know Who You’re Hiring
FINRA: Know Who You’re Hiring
Jul 28, 2017
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1 Min Read
byDiana Britton, Managing Editor
SEC Seal
Regulation & Compliance
Open Letter to the DoL and SEC: Markets Deserve Clarification on the Duty of Care
Open Letter to the DoL and SEC: Markets Deserve Clarification on the Duty of Care
Jul 25, 2017
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1 Min Read
byDavid Trainer
Representative Ann Wagner
Regulation & Compliance
Congressman: DOL Rule Is the Most Expensive Regulation of 2016
Congressman: DOL Rule Is the Most Expensive Regulation of 2016
Jul 13, 2017
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1 Min Read
byDiana Britton, Managing Editor
4-irs-office-angle-595.jpg
Regulation & Compliance
IRS Urges Advisors: "Don't Take the Bait"
IRS Urges Advisors: "Don't Take the Bait"
Jul 11, 2017
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1 Min Read
byWealthManagement.com Staff
retirement clock
Regulation & Compliance
DOL Seeks Input on Fiduciary Rule Revisions, Possible Delay
DOL Seeks Input on Fiduciary Rule Revisions, Possible Delay
Jun 30, 2017
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1 Min Read
byDiana Britton, Managing Editor
DOL building sign
Regulation & Compliance
DOL in the Real World
DOL in the Real World
Jun 19, 2017
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1 Min Read
byDiana Britton, Managing Editor
Pershing panel
Regulation & Compliance
How FINRA Thinks High-Risk Brokers Should Be Supervised
How FINRA Thinks High-Risk Brokers Should Be Supervised
Jun 16, 2017
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1 Min Read
byDiana Britton, Managing Editor
DOL
Regulation & Compliance
DOL Fiduciary Rule Finally Takes Effect
DOL Fiduciary Rule Finally Takes Effect
Jun 9, 2017
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1 Min Read
byDiana Britton, Managing Editor
Tom Baker Penn Law
Regulation & Compliance
When Robos Go Bad
When Robos Go Bad
Jun 7, 2017
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1 Min Read
byDiana Britton, Managing Editor
Wall-street
Regulation & Compliance
Wall Street Says Rules Risk Next Crisis. Trump Regulators Agree
Wall Street Says Rules Risk Next Crisis. Trump Regulators Agree
Jun 7, 2017
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1 Min Read
businessman whistle
Regulation & Compliance
Speaking Up When Clients Cross the Line
Speaking Up When Clients Cross the Line
May 18, 2017
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1 Min Read
obi-wan-versus-darth-vader-179025.jpg
Regulation & Compliance
Fiduciary Duty Can’t Be Killed
Fiduciary Duty Can’t Be Killed
Feb 22, 2017
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1 Min Read
byDavid Trainer
Morgan Stanley
Regulation & Compliance
Morgan Stanley in Hot Water Over Inverse ETFs
Morgan Stanley in Hot Water Over Inverse ETFs
Feb 15, 2017
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1 Min Read
compliance.jpg
Regulation & Compliance
How Will Trump’s SEC Handle RIAs?
How Will Trump’s SEC Handle RIAs?
Feb 7, 2017
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1 Min Read
byThomas Seubert
department-of-labor
Regulation & Compliance
The DOL Rule: In Challenge Lies Opportunity
The DOL Rule: In Challenge Lies Opportunity
Jan 18, 2017
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1 Min Read
byEd O'Brien
US Department of Labor fidcuiary rule
Regulation & Compliance
DOL Releases Second Batch Of Fiduciary Rule FAQs
DOL Releases Second Batch Of Fiduciary Rule FAQs
Jan 14, 2017
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1 Min Read
byRyan W. Neal, Associate Editor
Treasury Department
Regulation & Compliance
Public Hearing Held on Proposed Section 2704 Regs
Public Hearing Held on Proposed Section 2704 Regs
Dec 6, 2016
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1 Min Read
byPatricia M. Soldano
Trump victory speech
Regulation & Compliance
Fiduciary Rule Likely to Survive Trump Presidency
Fiduciary Rule Likely to Survive Trump Presidency
Nov 10, 2016
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1 Min Read
US Department of Labor
Regulation & Compliance
The Future of Third-Party Asset Managers in a Post-DOL World
The Future of Third-Party Asset Managers in a Post-DOL World
Nov 7, 2016
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1 Min Read
byGreg Luken, founder and CEO
magnifying glass
Regulation & Compliance
New SEC Rules Increase Scrutiny of Outside Compliance Chiefs
New SEC Rules Increase Scrutiny of Outside Compliance Chiefs
Nov 2, 2016
|
1 Min Read

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