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Compliance trends 2018
OCIE-RIA-Coverage-2017
SEC to probe more advisors
Broker Protocol exodus chart of advisor moves out of Morgan Stanley and UBS 12_07_2017
Broker Protocol exits could lead to more litigation
OCIE-Compliance-Deficiencies-2017
Get ready for changes to Form ADV
NASAA state-registered RIA chart
Regulators to move cybersecurity from alerts to enforcement
Top challenges for advisors
Uncertainty hangs over the fiduciary rule in 2018
NASAA enforcement statistics, 2016. State regulatory actions against brokers and advisors
State-registered RIAs face stricter oversight
LPL NPH advisor headcount
Continued IBD consolidation poses compliance questions
OCIE-Exams-Focus-2017
Growth of RIAs comes with greater supervision
Cetera refunds
What will become of the mutual fund alphabet in 2018?
SEC enforcement statistics
Revenue-sharing is a ‘dinosaur’
SEC disgorgement and penalties
Wrap-fee programs under scrutiny
FinCEN AML graph
Treasury Department could decide on anti-money laundering rules
OCIE-RIA-Exams-2017
Watch for enforcement cases involving marketing practices
sec-headquarters-bl
New custody rule requirements
Joe Ratterman of Bats Global Markets Inc., Nasdaq OMX Group Inc arrive for a meeting at the Securities and Exchange Commission in Washington, D.C., U.S., on Monday, May 10, 2010. The chief executive officers of the biggest U.S. stock markets were called to a meeting at the U.S.Securities and Exchange to discuss last week’s selloff in equities, according to four people familiar with the situation. Photographer: Joshua Roberts/Bloomberg
FBI case against Scott Newsholme
Bad brokers ‘a really hot area’
SEC entrance - Bloomberg News
A firm isn’t a liability shield