NASAA Is Aiming To Bring State Rules In Alignment With Federal Standards
State securities regulators are moving toward modernizing marketing regulations for investment advisors.
Recent
Finra Is Cracking Down Hard On CE Violations
Continuing education may not be the most exciting part of the job, but for regulators, it’s non-negotiable—and they're cracking down on violations.
Employee Misconduct Declines Post-Merger—But Not for the Reasons You Might Expect
M&A activity in wealth management is often touted for delivering scale, technology integration, and operational efficiencies.
New Money Laundering Rules Delayed By The Treasury Department
Investment advisors preparing for a sweeping new set of anti-money-laundering (AML) compliance obligations just received a critical reprieve.
DOJ Probing for Collusion in CLO Market During Libor Transition
The US Justice Department is conducting a criminal antitrust investigation into whether some investors in collateralized loan obligations colluded.
The SEC Files Civil Complaint Against Investment Management Partners
The SEC has filed a civil complaint against Chicago-based RIA firm P/E Capital Investment Management Partners and its CEO Eliseo Prisno.
Partial Legal Victory For LPL Financial
In a partial legal victory for LPL Financial, a federal judge has dismissed key portions of a lawsuit challenging their cash sweep practices.
