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New FINRA guidelines lay out the consequences.
September 25
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In the wake of cyberattacks at Equifax and EDGAR, SEC Chairman Jay Clayton makes an unusually lengthy statement appealing for RIAs to bolster security.
September 21
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OCIE puts advisors on notice about widespread use of misleading claims and failures of disclosure.
September 14
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Louis Blazer III used client funds to finance 'Mafia the Movie,' according to the complaint.
August 14
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The move will streamline investigations and standardize sanctions, the regulator says.
July 26
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Seeking more help from the industry, the regulator emphasizes a process that offers leniency for firms that proactively report and fix compliance failures.
May 23 -
The regulator wants the exam process to be a dialogue with firms and advisers.
May 18 -
Regulatory direction on mobile communication shows why advisers need to be careful about hyperlinking information.
May 11
Cipperman Compliance Services -
Avoiding the pitfalls of managing client finances can be challenging. Here's how some advisers fared — some successfully, others not so much.
February 21
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The SEC released a letter outlining where the most common deficiencies occur.
February 16
