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Regulation & Compliance

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Regulation & Compliance
Anticipating New Regulations under IRC Section 2704Anticipating New Regulations under IRC Section 2704

Definition of applicable restriction for valuation purposes may be expanded

byJonathan G. Blattmachr, Matthew D. Blattmachr
Jun 4, 2015
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1 Min Read
NFL Wife Sues deVeres for Sexual Harassment
Regulation & Compliance
NFL Wife Sues deVeres for Sexual HarassmentNFL Wife Sues deVeres for Sexual Harassment
byMegan Leonhardt
May 19, 2015
1 Min Read
LPL: DOL Rule Could Cut Gross Profit by 2 Percent
Regulation & Compliance
LPL: DOL Rule Could Cut Gross Profit by 2 PercentLPL: DOL Rule Could Cut Gross Profit by 2 Percent
byDiana Britton
Apr 30, 2015
1 Min Read
To Shred or Not To Shred: How Long to Hold On To 22 Personal Documents
Regulation & Compliance
To Shred or Not To Shred: How Long to Hold On To 22 Personal DocumentsTo Shred or Not To Shred: How Long to Hold On To 22 Personal Documents
byMegan Leonhardt
Apr 28, 2015
23 Slides
The Pros and Cons of Cooperating with Regulators
Regulation & Compliance
The Pros and Cons of Cooperating with RegulatorsThe Pros and Cons of Cooperating with Regulators
byMegan Leonhardt
Apr 24, 2015
1 Min Read
Establishing a Sound Corporate Culture Can Alleviate Compliance Problems
Regulation & Compliance
Establishing a Sound Corporate Culture Can Alleviate Compliance ProblemsEstablishing a Sound Corporate Culture Can Alleviate Compliance Problems
byWendy Lanton
Apr 21, 2015
1 Min Read
BlackRock
Regulation & Compliance
BlackRock to Pay $12 Million in SEC Conflict of Interest Case
BlackRock to Pay $12 Million in SEC Conflict of Interest Case
Apr 20, 2015
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1 Min Read
bySarah N. Lynch and Jonathan Stempel
SEC Panel to Call for Better Wall Street Disciplinary Database
Regulation & Compliance
SEC Panel to Call for Better Wall Street Disciplinary Database
SEC Panel to Call for Better Wall Street Disciplinary Database
Apr 10, 2015
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1 Min Read
bySarah N. Lynch
court room
Regulation & Compliance
PIABA Slams Nine Brokerages, But Is Their Report Sound?
PIABA Slams Nine Brokerages, But Is Their Report Sound?
Mar 25, 2015
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1 Min Read
byMegan Leonhardt
Merrill Lynch Fined $2.5 Million in Massachusetts
Regulation & Compliance
Merrill Lynch Fined $2.5 Million in Massachusetts
Merrill Lynch Fined $2.5 Million in Massachusetts
Mar 23, 2015
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1 Min Read
FINRA Going After Firms For Unreported Judgments, Liens
Regulation & Compliance
FINRA Going After Firms For Unreported Judgments, Liens
FINRA Going After Firms For Unreported Judgments, Liens
Mar 16, 2015
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1 Min Read
byMegan Leonhardt
CFPB President Richard Cordray
Regulation & Compliance
U.S. Consumer Watchdog Warns on Arbitration, Could Issue New Rules
U.S. Consumer Watchdog Warns on Arbitration, Could Issue New Rules
Mar 10, 2015
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1 Min Read
byReuters
UBS
Regulation & Compliance
UBS to Pay $14.4 Million Fine for Violations in U.S. 'Dark Pool'
UBS to Pay $14.4 Million Fine for Violations in U.S. 'Dark Pool'
Jan 15, 2015
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1 Min Read
byReuters
Heckerling Conference Begins
Regulation & Compliance
Heckerling Conference Begins
Heckerling Conference Begins
Jan 12, 2015
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1 Min Read
bySusan R. Lipp - Moderator, Editor in Chief
BNY Mellon
Regulation & Compliance
FINRA fines Pershing LLC $3M for Violating Customer Protection Rule
FINRA fines Pershing LLC $3M for Violating Customer Protection Rule
Dec 29, 2014
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1 Min Read
byReuters
SEC Accuses Unregistered Broker/Dealer Of Defrauding Seniors
Regulation & Compliance
SEC Accuses Unregistered Broker/Dealer Of Defrauding Seniors
SEC Accuses Unregistered Broker/Dealer Of Defrauding Seniors
Dec 19, 2014
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1 Min Read
byRyan W. Neal, Associate Editor
Hearsay Social Upgrades Social Media Compliance Tools
Regulation & Compliance
Hearsay Social Upgrades Social Media Compliance Tools
Hearsay Social Upgrades Social Media Compliance Tools
Dec 9, 2014
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1 Min Read
byMegan Leonhardt
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Regulation & Compliance
RCS Capital Settles Cole Capital Lawsuit for Almost $60 Million
RCS Capital Settles Cole Capital Lawsuit for Almost $60 Million
Dec 4, 2014
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1 Min Read
SEC Headquarters
Regulation & Compliance
SEC Charges Unregistered Advisor with Stock Fraud
SEC Charges Unregistered Advisor with Stock Fraud
Dec 2, 2014
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1 Min Read
byRyan W. Neal, Associate Editor
The Dreaded Annual Compliance Questionnaire
Regulation & Compliance
The Dreaded Annual Compliance Questionnaire
The Dreaded Annual Compliance Questionnaire
Nov 24, 2014
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1 Min Read
byWendy Lanton, Chief Compliance Officer
Tax Law Update: November 2014
Regulation & Compliance
Tax Law Update: November 2014
Tax Law Update: November 2014
Oct 23, 2014
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1 Min Read
byDavid A. Handler, Alison E. Lothes
Motif CEO: CARDS Costs For Small B/Ds Minimal
Regulation & Compliance
Motif CEO: CARDS Costs For Small B/Ds Minimal
Motif CEO: CARDS Costs For Small B/Ds Minimal
Oct 13, 2014
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1 Min Read
byMegan Leonhardt
Tax Law Update: October 2014
Regulation & Compliance
Tax Law Update: October 2014
Tax Law Update: October 2014
Sep 24, 2014
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1 Min Read
byDavid A. Handler, Alison E. Lothes
Barclays Racks Up $77M in Fines Over Compliance Issues
Regulation & Compliance
Barclays Racks Up $77M in Fines Over Compliance Issues
Barclays Racks Up $77M in Fines Over Compliance Issues
Sep 23, 2014
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1 Min Read
byMegan Leonhardt
Bank of America
Regulation & Compliance
Whistleblowers and 'Little White Lies'
Whistleblowers and 'Little White Lies'
Sep 15, 2014
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1 Min Read
byJeff Spears, Founder and CEO
Social Media Compliance? It's As Easy As Green Eggs And Ham
Regulation & Compliance
Social Media Compliance? It's As Easy As Green Eggs And Ham
Social Media Compliance? It's As Easy As Green Eggs And Ham
Aug 21, 2014
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1 Min Read
byApril Rudin
FINRA by the Numbers
Regulation & Compliance
FINRA by the Numbers
FINRA by the Numbers
Jun 24, 2014
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12 Slides
byMegan Leonhardt
Regulation Nation
Regulation & Compliance
Regulation Nation
Regulation Nation
Apr 29, 2014
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1 Min Read
Gallery: Acing Your Next FINRA Audit logo in a gray background | Gallery: Acing Your Next FINRA Audit
Regulation & Compliance
Gallery: Acing Your Next FINRA Audit
Gallery: Acing Your Next FINRA Audit
May 28, 2013
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8 Slides
byMegan Leonhardt
The Mysterious Case of the Writer and the Full Service Firm
Regulation & Compliance
The Mysterious Case of the Writer and the Full Service Firm
The Mysterious Case of the Writer and the Full Service Firm
Feb 21, 2013
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1 Min Read
byMegan Leonhardt
SEC to Move on Fiduciary Standard in Next Two Months
Regulation & Compliance
SEC to Move on Fiduciary Standard in Next Two Months
SEC to Move on Fiduciary Standard in Next Two Months
Feb 14, 2013
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1 Min Read
byMegan Leonhardt, Diana Britton
Don't Expect The SEC To Slow Down
Regulation & Compliance
Don't Expect The SEC To Slow Down
Don't Expect The SEC To Slow Down
Jan 10, 2013
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1 Min Read
byMegan Leonhardt
A Fideicomiso Isn’t a Trust
Regulation & Compliance
A Fideicomiso Isn’t a Trust
A Fideicomiso Isn’t a Trust
Nov 16, 2012
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1 Min Read
byAmy P. Jetel, Partner
Boston Celtics Player Blames SunTrust, Financial Advisor For $2.4M Loss
Regulation & Compliance
Boston Celtics Player Blames SunTrust, Financial Advisor For $2.4M Loss
Boston Celtics Player Blames SunTrust, Financial Advisor For $2.4M Loss
Nov 14, 2012
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1 Min Read
byMegan Leonhardt
FINRA Expels NY Brokerage Firm for Fraud
Regulation & Compliance
FINRA Expels NY Brokerage Firm for Fraud
FINRA Expels NY Brokerage Firm for Fraud
Nov 8, 2012
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1 Min Read

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