Sponsored By

Regulation & Compliance

SEC Chair Gary Gensler
Regulation & Compliance
Gensler: SEC's Ability to Investigate Crypto Is 'Stretched Thin'Gensler: SEC's Ability to Investigate Crypto Is 'Stretched Thin'

The SEC chair testified before a House Appropriations subcommittee on the commission’s FY24 budget request.

byPatrick Donachie, Senior Reporter
Mar 30, 2023
|
1 Min Read
SEC building
Regulation & Compliance
Crypto Exchange Beaxy, Founder Sued by SEC for ViolationsCrypto Exchange Beaxy, Founder Sued by SEC for Violations
byLydia Beyoud
Mar 30, 2023
1 Min Read
doj-seal-big.jpg
Regulation & Compliance
SEC Freezes Assets of Former Advisor Charged With Stealing $4M From ClientSEC Freezes Assets of Former Advisor Charged With Stealing $4M From Client
byPatrick Donachie
Mar 29, 2023
1 Min Read
courthouse columns
Regulation & Compliance
Georgia Advisor Pleads Guilty in $25M Ponzi SchemeGeorgia Advisor Pleads Guilty in $25M Ponzi Scheme
byPatrick Donachie
Mar 27, 2023
1 Min Read
nba-ball-blue-bkgd.jpg
Regulation & Compliance
Former Morgan Stanley Advisor Charged With Defrauding NBA PlayersFormer Morgan Stanley Advisor Charged With Defrauding NBA Players
byPatrick Donachie
Mar 23, 2023
1 Min Read
lindsay-lohan-car-window.jpg
Regulation & Compliance
SEC Charges Celebs for Touting Crypto Without Disclosing CompensationSEC Charges Celebs for Touting Crypto Without Disclosing Compensation
byPatrick Donachie
Mar 22, 2023
1 Min Read
ransomware-digital-cybersecurity.jpg
Regulation & Compliance
Banks, Financial Industry Hit by Rising Ransomware Attacks
Banks, Financial Industry Hit by Rising Ransomware Attacks
Mar 21, 2023
|
1 Min Read
byAndrew Martin
joe-biden-oval-office.jpg
Regulation & Compliance
Biden Vetoes Bill for First Time to Block Anti-ESG Measure
Biden Vetoes Bill for First Time to Block Anti-ESG Measure
Mar 20, 2023
|
1 Min Read
byAkayla Gardner
cfp-board-ad.png
Regulation & Compliance
CFP Board's Ad Campaign Reflects Flexibility After Split
CFP Board's Ad Campaign Reflects Flexibility After Split
Mar 20, 2023
|
1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
SEC Reopens Comment Period for Proposed Cybersecurity Rule
SEC Reopens Comment Period for Proposed Cybersecurity Rule
Mar 16, 2023
|
1 Min Read
byPatrick Donachie, Senior Reporter
Guo-Wengui.jpg
Regulation & Compliance
Exiled Chinese Billionaire Guo Wengui Charged With Billion-Dollar Fraud in US
Exiled Chinese Billionaire Guo Wengui Charged With Billion-Dollar Fraud in US
Mar 15, 2023
|
1 Min Read
byBob Van Voris
IAA cyber panel.jpg
Regulation & Compliance
Is 48 Hours Too Short for Reporting Cybersecurity Breaches?
Is 48 Hours Too Short for Reporting Cybersecurity Breaches?
Mar 14, 2023
|
1 Min Read
byPatrick Donachie, Senior Reporter
IAA CEO Karen Barr and SEC Commissioner Mark Uyeda
Regulation & Compliance
Firms Face Choppy Water Navigating SEC Compliance Dates
Firms Face Choppy Water Navigating SEC Compliance Dates
Mar 13, 2023
|
1 Min Read
byPatrick Donachie, Senior Reporter
Finra
Regulation & Compliance
Webull Financial to Pay $3M to FINRA for Approving Inexperienced Options Traders
Webull Financial to Pay $3M to FINRA for Approving Inexperienced Options Traders
Mar 9, 2023
|
1 Min Read
byPatrick Donachie, Senior Reporter
finra-street.jpg
Regulation & Compliance
FINRA Disciplinary Actions, Fines Dropped in 2022
FINRA Disciplinary Actions, Fines Dropped in 2022
Mar 8, 2023
|
1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
Crypto Hedge Fund Accused of ‘Ponzi-Like’ Payments by SEC
Crypto Hedge Fund Accused of ‘Ponzi-Like’ Payments by SEC
Mar 6, 2023
|
1 Min Read
byAustin Weinstein
SEC headquarters
Regulation & Compliance
SEC: Father, Son Team Lied About Being Fired, Impersonated Clients on Calls
SEC: Father, Son Team Lied About Being Fired, Impersonated Clients on Calls
Mar 2, 2023
|
1 Min Read
byPatrick Donachie, Senior Reporter
SEC Chair Gary Gensler
Regulation & Compliance
SEC’s Gensler Steps Up Warnings to Money Managers on Everything From AI to Crypto
SEC’s Gensler Steps Up Warnings to Money Managers on Everything From AI to Crypto
Mar 2, 2023
|
1 Min Read
byLydia Beyoud
joe-biden-fist.jpg
Regulation & Compliance
Anti-ESG Bill Passes Senate as Biden Threatens First Veto
Anti-ESG Bill Passes Senate as Biden Threatens First Veto
Mar 2, 2023
|
1 Min Read
byLaura Litvan and Diego Areas Munhoz
social media
Regulation & Compliance
How Workable Are FINRA’s ‘Finfluencer’ Tips for Firms?
How Workable Are FINRA’s ‘Finfluencer’ Tips for Firms?
Mar 1, 2023
|
1 Min Read
byPatrick Donachie, Senior Reporter
Illinois, Georgia Are Newest States to Adopt Best Interest Annuity Rules
Regulation & Compliance
Illinois, Georgia Are Newest States to Adopt Best Interest Annuity Rules
Illinois, Georgia Are Newest States to Adopt Best Interest Annuity Rules
Feb 24, 2023
|
1 Min Read
byPatrick Donachie, Senior Reporter
SEC Headquarters
Regulation & Compliance
Wall Street Firms Fight SEC Push to Change Mutual-Fund Pricing
Wall Street Firms Fight SEC Push to Change Mutual-Fund Pricing
Feb 23, 2023
|
1 Min Read
byEmily Graffeo (Bloomberg)
Wells Fargo
Regulation & Compliance
Wells Fargo Discloses Probes as Scrutiny of Messaging Apps’ Use Widens
Wells Fargo Discloses Probes as Scrutiny of Messaging Apps’ Use Widens
Feb 22, 2023
|
1 Min Read
byHannah Levitt (Bloomberg)
The Clarke brothers are descendants of Mormon pioneers who migrated across the plains from the Midwest to Utah in the 1800s And the family still pract
Regulation & Compliance
Mormon Church, Investment Manager Pay $5 Million to Settle SEC Probe
Mormon Church, Investment Manager Pay $5 Million to Settle SEC Probe
Feb 21, 2023
|
1 Min Read
byAustin Weinstein (Bloomberg)
paul-pierce-2010.jpg
Regulation & Compliance
Former NBA Player Paul Pierce Will Pay $1.4M in Crypto Case
Former NBA Player Paul Pierce Will Pay $1.4M in Crypto Case
Feb 17, 2023
|
1 Min Read
byAustin Weinstein
department of labor
Regulation & Compliance
Attorneys Urge Advisors to Comply With DOL Rollover Guidance, Despite Court Decision
Attorneys Urge Advisors to Comply With DOL Rollover Guidance, Despite Court Decision
Feb 16, 2023
|
1 Min Read
byPatrick Donachie, Senior Reporter
gary-gensler-2021.jpg
Regulation & Compliance
SEC Commissioners OK Proposed Custody Rule Changes
SEC Commissioners OK Proposed Custody Rule Changes
Feb 15, 2023
|
1 Min Read
byPatrick Donachie, Senior Reporter
handshake documents
Regulation & Compliance
Stop Procrastinating on Your OFAC Reviews to Improve Onboarding
Stop Procrastinating on Your OFAC Reviews to Improve Onboarding
Feb 13, 2023
|
1 Min Read
byChris Zuczek
prisonbars.jpg
Regulation & Compliance
Former Advisor to Serve Over Three Years in Prison for Fraud, Embezzlement
Former Advisor to Serve Over Three Years in Prison for Fraud, Embezzlement
Feb 10, 2023
|
1 Min Read
byPatrick Donachie, Senior Reporter
sec-seal-new.jpg
Regulation & Compliance
SEC Examiners to Focus on Complex Products, Annuities, Non-Traded REITS for Reg BI Violations in 2023
SEC Examiners to Focus on Complex Products, Annuities, Non-Traded REITS for Reg BI Violations in 2023
Feb 8, 2023
|
1 Min Read
byPatrick Donachie, Senior Reporter
SEC headquarters
Regulation & Compliance
SEC Charges Former Advisor for Fraudulently Using Client Assets as Collateral
SEC Charges Former Advisor for Fraudulently Using Client Assets as Collateral
Feb 7, 2023
|
1 Min Read
byPatrick Donachie, Senior Reporter
handcuffs-money-bkgd.jpg
Regulation & Compliance
Former Wells Fargo, LPL Advisor Pleads Guilty in $626K Fraud
Former Wells Fargo, LPL Advisor Pleads Guilty in $626K Fraud
Feb 6, 2023
|
1 Min Read
byPatrick Donachie, Senior Reporter
Raymond James had 3212 advisors last year up by only 19 from 2011
Regulation & Compliance
'Coordinated Raid' on Wells Fargo Branch Costs Raymond James $20M
'Coordinated Raid' on Wells Fargo Branch Costs Raymond James $20M
Feb 3, 2023
|
1 Min Read
byPatrick Donachie, Senior Reporter
finra-street.jpg
Regulation & Compliance
FINRA Suspends Two NY Reps for Reg BI Violations
FINRA Suspends Two NY Reps for Reg BI Violations
Feb 1, 2023
|
1 Min Read
byPatrick Donachie, Senior Reporter
RankingnbspTennessee isnbsp43rdnbspthis year it wasnbsp45thnbspin 2014nbspnbspStrengthsbull Low prevalence of excessive drinkingbull Small disparity i
Regulation & Compliance
Tennessee Adopts Annuity Best Interest Rule
Tennessee Adopts Annuity Best Interest Rule
Jan 30, 2023
|
1 Min Read
byPatrick Donachie, Senior Reporter

Latest news

Larry Restieri and Bob Oros Hightower
Career Moves
Hightower CEO Bob Oros To Step Down
Hightower CEO Bob Oros To Step Down

Feb 11, 2025

empty office chairs
Industry News & Trends
McKinsey Estimates Advisor Shortage of 100,000 by 2034
McKinsey Estimates Advisor Shortage of 100,000 by 2034

Feb 11, 2025

stock market model portfolios
Investing Strategies
Morningstar: Advisor Use of Custom Model Portfolios Rises
Advisor Use of Custom Model Portfolios Rises

Feb 11, 2025

Sign Up for Newsletters
Sign up to receive the latest insights, trends, and analysis.
CE Webinars
View more
Apr 1 - Apr 2, 2025
Learn from top leaders tackling growth, pay, and personnel challenges daily.
Learn More

Trusts & Estates Magazine

Trusts Estates February 2025
Read More

Latest Digital Edition

Trusts & Estates: February 2025 Digital Edition

Feature on Ultra-High-Net-Worth Families & Family Offices