Regulation and compliance
Regulation and compliance
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"Maybe commissions aren’t so evil after all?"
December 20 -
Geography, occupation and family size will determine whether the bill helps or hurts.
December 20 -
More than 15 similar products have been proposed since 2013. Some applications were withdrawn. Others are in purgatory.
December 20 -
To get in on hot IPOs, a client delivered cash payments to the broker at bars and restaurants, the regulator alleges.
December 20 -
The need to eliminate complexity, boost transparency and create efficiencies is stronger than ever.
December 20 -
The alleged failures stretched over a two year period, according to the regulator.
December 19 -
The proposal includes changes in everything from the corporate tax rate to Obamacare.
December 19 -
Be aware of changes to retirement savings plans and alimony. Here’s what clients and advisors need to know.
December 19 -
The revised GOP tax bill lets investors keep the flexibility to sell whichever shares they want.
December 19 -
Advisors have gotten caught in the crossfire: politicians have errantly assumed that 100% of advisory firm earnings are wage compensation .
December 18 -
Authorities say the now barred broker concealed his fraud through a variety of methods, including by creating falsified tax forms and lying to accountants.
December 18 -
Regulatory decisions, whistle-blower cases and acquisitions will define wealth management in 2018, and the people here will be the decision-makers who remake the industry.
December 15 -
The broker engaged the client in 11 private securities transactions involving private equity and debt securities in companies spanning a wide variety of industries, FINRA alleged.
December 15 -
Technology has transformed the industry, but personal relationships are still crucial.
December 15 -
Sponsors can bill the products however they’d like, but the bar to proving they work as advertised is high.
December 14 -
The duo recommended an investment strategy that was overly concentrated in four speculative equity securities to more than 50 customers, FINRA alleged.
December 13 -
Digital advice is vulnerable to bait-and-switch and choice manipulation schemes.
December 13 -
The industry has resisted the SEC’s Consolidated Audit Trail surveillance system ― dubbed CAT ― in its current form based on cybersecurity concerns.
December 13 -
The regulator charged the firm and its owner with fraud in a case centered on commissions and 12b-1 fees.
December 12 -
"Sunlight is the best disinfectant," investor advocate says of regulator's move to keep disciplinary problems in public view.
December 12


















