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Unclear — or no — disclosures were among a number of concerns regulatory officials expressed about initial examinations.
October 29 -
The former J.W. Cole advisor’s practice allegedly sold more than $40 million worth of unsuitable and unregistered promissory notes.
October 22 -
The regulator would generate an additional $225 million per year from the fee increases.
October 9 -
Insiders see a Democratic administration backing tightened investor protections as industry advocates look to tax legislation.
October 8 -
The Justice Department filed two counts of wire fraud against the firm but agreed to defer prosecution under a three-year deal that requires the bank to report its remediation and compliance efforts to the government.
September 29 -
The Labor Department’s short comment period is one reason to get up to speed, fast.
July 8 -
The board is “decisively moving away” from allowing advisors to self-disclose, CEO Kevin Keller says.
June 25 -
It’s the regulator’s largest restitution order this year.
June 4 -
The change is one of several made to the board’s disciplinary reporting process following a report by an independent task force that found “systemic, long-standing, governance-level weaknesses.”
May 29 -
Given that I must disclose on my Form ADV that we accepted the aid, I had to ask myself difficult questions about possibly over-zealous regulatory scrutiny as well as my firm's reputation, this advisor writes.
May 15Segment Wealth Management