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Regulation & Compliance

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Regulation & Compliance
Faith-Based RIA Joins Ex-Trump Officials in Target SuitFaith-Based RIA Joins Ex-Trump Officials in Target Suit

Inspire Advisors has joined a lawsuit arguing the major retailer’s Pride Campaign resulted in consumer backlash that negatively impacted its stock price.

byPatrick Donachie, Senior Reporter
Dec 14, 2023
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1 Min Read
US SEC building in Washington, D.C., 2008
Regulation & Compliance
PIABA Urges SEC to Suspend RIA Mandatory Arbitration ClausesPIABA Urges SEC to Suspend RIA Mandatory Arbitration Clauses
byPatrick Donachie
Dec 11, 2023
1 Min Read
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Regulation & Compliance
Former Morgan Stanley, Wells Fargo, Stifel Advisor Convicted in $4M Health Care FraudFormer Morgan Stanley, Wells Fargo, Stifel Advisor Convicted in $4M Health Care Fraud
byPatrick Donachie
Dec 8, 2023
1 Min Read
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Regulation & Compliance
B/Ds Want NASAA To Kill Reg BI-Related Revisions to Model RulesB/Ds Want NASAA To Kill Reg BI-Related Revisions to Model Rules
byPatrick Donachie
Dec 7, 2023
1 Min Read
SEC Seal
Regulation & Compliance
Final SEC Rules on AI, ESG Scheduled for AprilFinal SEC Rules on AI, ESG Scheduled for April
byPatrick Donachie
Dec 7, 2023
1 Min Read
Finra
Regulation & Compliance
FINRA Fines Self-Directed Trading Firms $2.6M For Poor OversightFINRA Fines Self-Directed Trading Firms $2.6M For Poor Oversight
byPatrick Donachie
Dec 6, 2023
1 Min Read
IRS building
Regulation & Compliance
IRS Criminal Investigation Unit Is Taking on More Crypto Tax Cases
IRS Criminal Investigation Unit Is Taking on More Crypto Tax Cases
Dec 4, 2023
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1 Min Read
byAllyson Versprille, Reporter
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Regulation & Compliance
SEC’s Use of In-House Judges Cast in Doubt by Supreme Court
SEC’s Use of In-House Judges Cast in Doubt by Supreme Court
Nov 29, 2023
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1 Min Read
byGreg Stohr
Supreme Court Rules Against Obama Recess Appointments
Regulation & Compliance
Ex-Hedge Fund Boss Fights SEC at Supreme Court With Big Backers
Ex-Hedge Fund Boss Fights SEC at Supreme Court With Big Backers
Nov 29, 2023
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1 Min Read
byGreg Stohr
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Regulation & Compliance
California Man Sentenced to 7 Years for $7M Ponzi Scheme Against Israeli-Americans
California Man Sentenced to 7 Years for $7M Ponzi Scheme Against Israeli-Americans
Nov 28, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
SEC Charges Laidlaw & Co. Reps With Excessive Trading, Violating Reg BI
SEC Charges Laidlaw & Co. Reps With Excessive Trading, Violating Reg BI
Nov 21, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Robinhood: Many Investors Will Lose Access to the Market Under SEC AI Rule
Robinhood: Many Investors Will Lose Access to the Market Under SEC AI Rule
Nov 20, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Alpine Securities Argues FINRA 'Must Be Bound' By the Constitution
Alpine Securities Argues FINRA 'Must Be Bound' By the Constitution
Nov 20, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
DOL sign
Regulation & Compliance
DOL Rejects Calls to Extend Comment Period for Fiduciary Rule
DOL Rejects Calls to Extend Comment Period for Fiduciary Rule
Nov 15, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
finra
Regulation & Compliance
FINRA Fines Canadian Firm For Reg BI Violations
FINRA Fines Canadian Firm For Reg BI Violations
Nov 14, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA Fines Firm For Omitting Disciplinary Disclosures on Form CRS
Regulation & Compliance
FINRA Fines Firm For Omitting Disciplinary Disclosures on Form CRS
FINRA Fines Firm For Omitting Disciplinary Disclosures on Form CRS
Nov 9, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
CFP Board Begins Publishing Detailed Disciplinary Details
CFP Board Begins Publishing Detailed Disciplinary Details
Nov 9, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Gensler Defends Predictive Data Rule
Gensler Defends Predictive Data Rule
Nov 7, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA
Regulation & Compliance
Another Barred Broker Files Suit Against FINRA
Another Barred Broker Files Suit Against FINRA
Nov 6, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
businessman money
Regulation & Compliance
The Corporate Transparency Act and Trusts
The Corporate Transparency Act and Trusts
Nov 6, 2023
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1 Min Read
byMatthew F. Erskine, Managing Partner
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Regulation & Compliance
New DOL Fiduciary Rule Cracks Down on 'Junk Fees'
New DOL Fiduciary Rule Cracks Down on 'Junk Fees'
Oct 31, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
DOL Unveils Details On Latest Fiduciary Rule Proposal
DOL Unveils Details On Latest Fiduciary Rule Proposal
Oct 31, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
Another Rep Challenges FINRA’s Constitutionality
Regulation & Compliance
Another Rep Challenges FINRA’s Constitutionality
Another Rep Challenges FINRA’s Constitutionality
Oct 30, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
J.P. Morgan Accuses Former Bank Advisor of Breaking Non-Solicitation Vow
Regulation & Compliance
J.P. Morgan Accuses Former Bank Advisor of Breaking Non-Solicitation Vow
J.P. Morgan Accuses Former Bank Advisor of Breaking Non-Solicitation Vow
Oct 27, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Financial Services Needs Compliance Aggregators
Financial Services Needs Compliance Aggregators
Oct 26, 2023
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1 Min Read
byNathan Remmes
SEC building
Regulation & Compliance
SEC Charges Former WEG Advisor for Defrauding Elderly Clients
SEC Charges Former WEG Advisor for Defrauding Elderly Clients
Oct 26, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA
Regulation & Compliance
PIABA: Broker Expungement Is Still Too Easy
PIABA: Broker Expungement Is Still Too Easy
Oct 24, 2023
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1 Min Read
byDiana Britton, Managing Editor
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Regulation & Compliance
The Unintended Consequences of NASAA’s Rule Amendments
The Unintended Consequences of NASAA’s Rule Amendments
Oct 24, 2023
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1 Min Read
byMark Quinn
raymond james
Regulation & Compliance
Fired Raymond James VP Files Sexual Harassment Lawsuit
Fired Raymond James VP Files Sexual Harassment Lawsuit
Oct 20, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
White House Meetings Mark Final Step Before New DOL Fiduciary Rule
White House Meetings Mark Final Step Before New DOL Fiduciary Rule
Oct 19, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
YouTube Advisor Sentenced To Prison for COVID-19 Loan Fraud
YouTube Advisor Sentenced To Prison for COVID-19 Loan Fraud
Oct 16, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
Finra
Regulation & Compliance
D.C. Court Rejects Rep's Argument Questioning FINRA’s Constitutionality
D.C. Court Rejects Rep's Argument Questioning FINRA’s Constitutionality
Oct 11, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
The SEC Risks Being Ensnared in Its WhatsApp Trap
The SEC Risks Being Ensnared in Its WhatsApp Trap
Oct 11, 2023
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1 Min Read
byAaron Brown
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Regulation & Compliance
Connecticut Advisor Pleads Guilty to $2.7M Cherry-Picking Scheme
Connecticut Advisor Pleads Guilty to $2.7M Cherry-Picking Scheme
Oct 10, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
Is SEC Overshooting on Its AI Conflicts Rule?
Is SEC Overshooting on Its AI Conflicts Rule?
Oct 9, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter

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