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Regulation & Compliance

Finra
Regulation & Compliance
FINRA Fines Florida B/D $500K For Not Retaining Business-Related TextsFINRA Fines Florida B/D $500K For Not Retaining Business-Related Texts

Dawson James Securities failed to retain more than 10,000 business-related texts, including consumer complaints and client conversations, over 10 years, according to FINRA.

byPatrick Donachie, Senior Reporter
Apr 8, 2024
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1 Min Read
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Sponsored Content
Keeping Up With RegulationsKeeping Up With Regulations
Apr 8, 2024
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Regulation & Compliance
FINRA Fines Cobra Trading For Not Supervising Influencers’ AdsFINRA Fines Cobra Trading For Not Supervising Influencers’ Ads
byPatrick Donachie
Apr 4, 2024
1 Min Read
SEC building
Regulation & Compliance
RIA Senvest To Pay $6.5M for Text Message Record-Keeping FailuresRIA Senvest To Pay $6.5M for Text Message Record-Keeping Failures
byPatrick Donachie
Apr 3, 2024
1 Min Read
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Regulation & Compliance
Commonwealth Ordered To Pay $93M In SEC Share Class CaseCommonwealth Ordered To Pay $93M In SEC Share Class Case
byPatrick Donachie
Apr 3, 2024
1 Min Read
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Regulation & Compliance
Stifel Faces $2.2M in FINRA Penalties for Poor ETP OversightStifel Faces $2.2M in FINRA Penalties for Poor ETP Oversight
byPatrick Donachie
Mar 26, 2024
1 Min Read
DOL Fiduciary Rule in Final Stretch as AARP, Insured Retirement Institute Set White House Meetings
Regulation & Compliance
DOL Fiduciary Rule in Final Stretch as AARP, Insured Retirement Institute Set White House Meetings
DOL Fiduciary Rule in Final Stretch as AARP, Insured Retirement Institute Set White House Meetings
Mar 20, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
Stifel office
Regulation & Compliance
FINRA Fines Stifel $400K for Missing Broker Misconduct
FINRA Fines Stifel $400K for Missing Broker Misconduct
Mar 19, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
FINRA Fines M1 Finance in First Charges Involving Social Media Influencers
FINRA Fines M1 Finance in First Charges Involving Social Media Influencers
Mar 18, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
SEC Accuses Two Firms of Lying About AI
SEC Accuses Two Firms of Lying About AI
Mar 18, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
FINRA Fines Osaic B/Ds For Poor Cyber Defenses
FINRA Fines Osaic B/Ds For Poor Cyber Defenses
Mar 15, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
Top 5 FINRA Enforcement Issues in 2023 Included Reg BI, Spoofing
Regulation & Compliance
Top 5 FINRA Enforcement Issues in 2023 Included Reg BI, Spoofing
Top 5 FINRA Enforcement Issues in 2023 Included Reg BI, Spoofing
Mar 13, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Chair Gary Gensler IAA Conference
Regulation & Compliance
ESG Advisor Disclosure Rule Could Follow Climate Rule 'Very Quickly'
ESG Advisor Disclosure Rule Could Follow Climate Rule 'Very Quickly'
Mar 8, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
SEC’s AI Rule Could 'Weaken' Advisors’ Fiduciary Duty, IAA Attorney Argues
SEC’s AI Rule Could 'Weaken' Advisors’ Fiduciary Duty, IAA Attorney Argues
Mar 8, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA HQ
Regulation & Compliance
Key Record-Keeping Takeaways From FINRA’s 2024 Regulatory Oversight Report
Key Record-Keeping Takeaways From FINRA’s 2024 Regulatory Oversight Report
Mar 7, 2024
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1 Min Read
byHarriet Christie
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Regulation & Compliance
Navigating the Regulatory Tsunami for RIAs
Navigating the Regulatory Tsunami for RIAs
Mar 6, 2024
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1 Min Read
byMazi Bahadori
sec-building-new.jpg
Regulation & Compliance
TIAA-CREF Settles SEC Charges Over Reg BI Violations for $2.2M
TIAA-CREF Settles SEC Charges Over Reg BI Violations for $2.2M
Feb 16, 2024
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1 Min Read
byDiana Britton, Managing Editor
U.S. Department of Labor sign
Regulation & Compliance
The DOL’s Independent Contractor Rule and the Law of Unintended Consequences
The DOL’s Independent Contractor Rule and the Law of Unintended Consequences
Feb 14, 2024
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1 Min Read
byJeff Nash, CEO and co-founder, Bridgemark Strategies
Investor Advocates Press Congress to Resist 'Industry Efforts' to Derail Fiduciary Rule
Regulation & Compliance
Investor Advocates Press Congress to Resist 'Industry Efforts' to Derail Fiduciary Rule
Investor Advocates Press Congress to Resist 'Industry Efforts' to Derail Fiduciary Rule
Feb 14, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
Treasury Department
Regulation & Compliance
U.S. Treasury Floats New Anti-Money Laundering Rules for RIAs
U.S. Treasury Floats New Anti-Money Laundering Rules for RIAs
Feb 13, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Former Oppenheimer & Co. Advisor Sentenced to Nearly 8 Years in Prison for $49M Ponzi Scheme
Former Oppenheimer & Co. Advisor Sentenced to Nearly 8 Years in Prison for $49M Ponzi Scheme
Feb 12, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
SEC Fines Firms $81M For Off-Channel Communications Lapses
SEC Fines Firms $81M For Off-Channel Communications Lapses
Feb 9, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
thecapitol.jpg
Regulation & Compliance
Lawmakers Reintroduce Bill Banning Forced Arbitration
Lawmakers Reintroduce Bill Banning Forced Arbitration
Feb 6, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
US Department of Labor fidcuiary rule
Regulation & Compliance
FSI Preps for Court Battle With DOL Over Fiduciary Rule
FSI Preps for Court Battle With DOL Over Fiduciary Rule
Jan 30, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC headquarters
Regulation & Compliance
Apex’s Failed SPAC Settles $1.5M SEC Charge
Apex’s Failed SPAC Settles $1.5M SEC Charge
Jan 26, 2024
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1 Min Read
byDiana Britton, Managing Editor
jp-morgan-entrance.jpg
Regulation & Compliance
J.P. Morgan Accuses Michigan Advisor Of Soliciting Clients After Jump to Kestra
J.P. Morgan Accuses Michigan Advisor Of Soliciting Clients After Jump to Kestra
Jan 22, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
Citi sign
Regulation & Compliance
DOJ Charges Former Citi Advisor With Defrauding Clients While Funding Film Career
DOJ Charges Former Citi Advisor With Defrauding Clients While Funding Film Career
Jan 18, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
robinhood-app-phone-2.jpg
Regulation & Compliance
Robinhood Pays $7.5M To Settle Massachusetts "Gamification" Charge
Robinhood Pays $7.5M To Settle Massachusetts "Gamification" Charge
Jan 18, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
DOL sign
Regulation & Compliance
FSI Fights Back Against DOL's Independent Contractor Rule
FSI Fights Back Against DOL's Independent Contractor Rule
Jan 16, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
jp-morgan-entrance.jpg
Regulation & Compliance
SEC Alleges J.P. Morgan Tried To Prevent Clients From Whistleblowing
SEC Alleges J.P. Morgan Tried To Prevent Clients From Whistleblowing
Jan 16, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
U.S. Rep. Brad Sherman DOL fiduciary rule
Regulation & Compliance
Top House Democrat Seeks More Clarity on DOL Fiduciary Rule
Top House Democrat Seeks More Clarity on DOL Fiduciary Rule
Jan 11, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
Vidiance Sander Ressler compliant videos
Regulation & Compliance
Compliance Consultant Launches Video Marketing Business
Compliance Consultant Launches Video Marketing Business
Jan 9, 2024
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1 Min Read
byDiana Britton, Managing Editor
LPL Financial
Regulation & Compliance
LPL Settles With FINRA For $6M Over Reg BI Lapses
LPL Settles With FINRA For $6M Over Reg BI Lapses
Jan 2, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Industry Awaits Final Versions of Regulations in 2024
Industry Awaits Final Versions of Regulations in 2024
Dec 22, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
Jail
Regulation & Compliance
Advisor Faces 30 Years in Prison For Defrauding Retiree
Advisor Faces 30 Years in Prison For Defrauding Retiree
Dec 20, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter

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