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Regulation & Compliance

FINRA HQ
Regulation & Compliance
Broker Claims FINRA’s Testimony Demands Violate Constitutional RightsBroker Claims FINRA’s Testimony Demands Violate Constitutional Rights

New York-based advisor Francis Smith wants a temporary restraining order to stop FINRA from allegedly requiring on-the-record testimony without the protection of the Fifth Amendment.

byPatrick Donachie, Senior Reporter
Feb 18, 2025
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1 Min Read
Department of Labor sign DOL fiduciary rule
Regulation & Compliance
DOL Puts Fiduciary Rule on HoldDOL Puts Fiduciary Rule on Hold
byDiana Britton, Moderator
Feb 14, 2025
1 Min Read
globe data stock market
WealthTech
The Data Demands for Cross-Border Wealth Management InnovationsThe Data Demands for Cross-Border Wealth Management Innovations
byAshley Longabaugh
Feb 13, 2025
1 Min Read
iphone imessage text messaging
Client Relations
Left on Read: The Cost of Ignoring iMessage ComplianceThe Cost of Ignoring iMessage Compliance
byHarriet Christie
Feb 13, 2025
1 Min Read
CFPB office HQ
Regulation & Compliance
CFPB Disarray Puts Future Fintech, Bank Oversight Into QuestionCFPB Disarray Puts Future Fintech, Bank Oversight Into Question
byPaige Smith
Feb 12, 2025
1 Min Read
Acting SEC Chair Mark Uyeda
Regulation & Compliance
Acting SEC Chairman Pauses Legal Defense of Climate RuleActing SEC Chairman Pauses Legal Defense of Climate Rule
byPatrick Donachie
Feb 11, 2025
1 Min Read
U.S. Supreme Court building
Regulation & Compliance
Broker Uses Recent Supreme Court Decisions In Case Against FINRA
Broker Uses Recent Supreme Court Decisions In Case Against FINRA
Feb 10, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
CFP Board CEO Kevin Keller
Career Moves
CFP Board CEO Kevin Keller To Retire
CFP Board CEO Kevin Keller To Retire
Feb 6, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
Regulation & Compliance
FINRA Fines Apex Clearing $3.2M for Securities Lending Violations
FINRA Fines Apex Clearing $3.2M for Securities Lending Violations
Feb 4, 2025
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1 Min Read
byDiana Britton, Moderator, Managing Editor
US Capitol
Regulation & Compliance
B/D, Advisor Advocate Coalition to Push Congress To Reform Pass-Through Tax Deduction
B/D, Advisor Advocate Coalition to Push Congress To Reform Pass-Through Tax Deduction
Jan 31, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
Fidelity Investments
Regulation & Compliance
Investors File Claim Against Fidelity Over Lax Supervision of RIA
Investors File Claim Against Fidelity Over Lax Supervision of RIA
Jan 30, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
U.S. Rep. Lori Chavez-DeRemer is President Donald Trump's nominee for DOL secretary.
Regulation & Compliance
Broker Advocates Uncertain About Trump’s Labor Secretary Choice
Broker Advocates Uncertain About Trump’s Labor Secretary Choice
Jan 28, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
Hightower office
RIA
Judge Voids Hightower Non-Compete Against Former Advisor
Judge Voids Hightower Non-Compete Against Former Advisor
Jan 28, 2025
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1 Min Read
byDiana Britton, Moderator, Managing Editor
SEC building seal
Regulation & Compliance
Arete Wealth Fights Back on SEC Charges
Arete Wealth Fights Back on SEC Charges
Jan 24, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
Acting SEC Chair Mark Uyeda
Regulation & Compliance
New Acting SEC Chair Uyeda Launches Crypto Task Force
New Acting SEC Chair Uyeda Launches Crypto Task Force
Jan 21, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
SEC Charges Arete Wealth, Part of Final Rush of Pre-Trump Actions
SEC Charges Arete Wealth, Part of Final Rush of Pre-Trump Actions
Jan 21, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
SEC Charges Pennsylvania Advisor Who Used Client Funds on Country Club Dues
SEC Charges Pennsylvania Advisor Who Used Client Funds on Country Club Dues
Jan 17, 2025
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1 Min Read
byDiana Britton, Moderator, Managing Editor
Vanguard Group company sign
Retirement
Vanguard to Pay $106M Over Retirement Fund Violations
Vanguard to Pay $106M Over Retirement Fund Violations
Jan 17, 2025
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1 Min Read
sec-seal-new.jpg
Regulation & Compliance
Wells Fargo, Merrill Lynch Pay $60M to Settle Cash Sweep Charges
Wells Fargo, Merrill Lynch Pay $60M to Settle Cash Sweep Charges
Jan 17, 2025
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1 Min Read
byDiana Britton, Moderator, Managing Editor
LPL Financial
Regulation & Compliance
LPL Financial Hit with Anti-Money Laundering Violations
LPL Financial Hit with Anti-Money Laundering Violations
Jan 17, 2025
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1 Min Read
byDavid Bodamer, Executive Editor, Investments
Charles Schwab
Regulation & Compliance
Schwab, Blackstone Among Firms Paying $63M To Settle SEC Texting Charges
Schwab, Blackstone Among Firms Paying $63M To Settle SEC Texting Charges
Jan 13, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
robinhood-app.jpg
Regulation & Compliance
Robinhood to Pay $45M to Settle SEC Claims
Robinhood to Pay $45M to Settle SEC Claims
Jan 13, 2025
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1 Min Read
edward jones
Regulation & Compliance
Edward Jones Will Pay $17M to Settle State Regulators’ Investigation
Edward Jones Will Pay $17M to Settle State Regulators’ Investigation
Jan 8, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
Cetera Advisor Networks President Tim Stinson FSI Chair
Regulation & Compliance
Cetera President Begins Term as FSI Board Chair
Cetera President Begins Term as FSI Board Chair
Jan 8, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
sec-seal-new.jpg
Regulation & Compliance
SEC: California RIA's 'Portfolio Shield' Performance Claim Violated Marketing Rules
SEC: California RIA's 'Portfolio Shield' Performance Claim Violated Marketing Rules
Jan 3, 2025
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1 Min Read
byDiana Britton, Moderator, Managing Editor
ACA Group President Carlo di Florio
Regulation & Compliance
2025 Outlook Q&A: Industry Regulation to Focus on Digital Assets
2025 Outlook Q&A: Industry Regulation to Focus on Digital Assets
Dec 26, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
department of labor
Regulation & Compliance
2024 Year in Review: Another New Fiduciary Rule
2024 Year in Review: Another New Fiduciary Rule
Dec 26, 2024
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9 Slides
byWealthManagement.com Staff
FINRA Fines Edward Jones, Osaic, Cambridge $8.2M to Settle Mutual Fund Fee Charges
Regulation & Compliance
FINRA Fines Edward Jones, Osaic, Cambridge $8.2M to Settle Mutual Fund Fee Charges
FINRA Fines Edward Jones, Osaic, Cambridge $8.2M to Settle Mutual Fund Fee Charges
Dec 20, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
computer data AI
Regulation & Compliance
Five Tips to Speed Up Compliance
Five Tips to Speed Up Compliance
Dec 17, 2024
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1 Min Read
Paul Atkins
Regulation & Compliance
How Paul Atkins Could Move SEC’s Enforcement Spotlight from Firms to Individuals
How Paul Atkins Could Move SEC’s Enforcement Spotlight from Firms to Individuals
Dec 16, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC seal
Regulation & Compliance
SEC Charges Former Advisor with Cherry-Picking
SEC Charges Former Advisor with Cherry-Picking
Dec 13, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC seal building Washington DC
Regulation & Compliance
SEC: Fraudsters Used Fake Websites, Voice Software to Impersonate Reps
SEC: Fraudsters Used Fake Websites, Voice Software to Impersonate Reps
Dec 11, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
morgan stanley
Regulation & Compliance
Morgan Stanley Fined $15 Million by SEC Over Adviser Theft
Morgan Stanley Fined $15 Million by SEC Over Adviser Theft
Dec 10, 2024
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1 Min Read
byNicola M. White
Paul Atkins
Regulation & Compliance
Trump Picks Atkins, Ex-SEC Commissioner, to Succeed Gensler
Trump Picks Atkins, Ex-SEC Commissioner, to Succeed Gensler
Dec 4, 2024
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1 Min Read
byLydia Beyoud, Nicola M. White
Paul Atkins
Regulation & Compliance
Trump Team Eyes Atkins, Ex-SEC Commissioner, to Succeed Gensler
Trump Team Eyes Atkins, Ex-SEC Commissioner, to Succeed Gensler
Dec 2, 2024
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1 Min Read
+2
byLydia Beyoud, Saleha Mohsinand 2 more

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