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Vanguard was accused of giving advisors incentives to enroll clients in certain financial service without disclosing how they were being compensated.
August 29 -
Also this month in our disciplinary digest, a frequent CNBC analyst is sentenced to five years in prison for defrauding investors, and a former Fidelity advisor faced charges after borrowing millions from clients.
August 26 -
The question has turned into something of a paradox because of the related, but different, rise of RIAs and how that has affected independent brokerages.
August 26 -
As head of the SEC's enforcement division, Margaret Ryan is expected to pursue the administration's priority on fighting fraud and insider-trading cases, while taking a lighter touch than her precessor with the crypto industry.
August 22 -
Stanley Tulin and his wife, Riki, say they were deprived of more than $19 million by a scam run by their former investment advisors. And JPMorgan, they argue in a lawsuit, could have prevented the whole thing.
August 19 -
A proposed "model rule" would give state regulators laws they could adopt to bring their marketing regulations for investment advisors in line with the SEC's.
August 5 -
The SEC has quietly approved key rule changes that make crypto ETFs more efficient and appealing to institutions — a symbolic shift toward wider acceptance of digital assets in Washington.
July 30 -
The SEC's $1.8B off-channel communications crackdown shows how paused protocols can lead to crisis.
July 24MirrorWeb -
The industry is awaiting SEC approval for dozens of applications, even as Vanguard's shareholder case highlights some of the tax complexity of the looming shift.
June 23 -
The industry watchdog is walking away from more than a dozen regulatory reforms that had drawn staunch opposition from advisors and industry groups.
June 13