Money laundering

The SEC says broker-dealers may treat investment advisors as if they were subject to the AML Rule — under certain conditions.

The alleged supervisory lapses occurred over a five-year period, according to the regulator.

The midterm elections virtually eliminate the chance that progress will be made on financial services legislation.

The focus since the 2016 election on easing rules, tax cuts and expanding access to credit is about to be turned on its head.

Many of the trades should have triggered market manipulation concerns because they involved companies that were barely operating but engaging heavily in promotional activity, the SEC says.

While some are mainstays, there are a few new ones to add to the list this year.

Commission prioritizes retail investors as OCIE issues its must-read compliance letter.

Alan J. Foxman looks into his crystal ball and predicts authorities will focus on these key areas.

“Ozark,” “Ballers,” “The Wolf of Wall Street” and “Trading Places” are fun to watch, but they bear nearly no resemblance to the day-to-day work of financial advisors.

A recent report provides insights into the regulator's concerns, that include cybersecurity, anti-money laundering and alternative investments.