Compliance/Fraud Articles

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Finra, States Mull New System To Clean Up Brokers' Records

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Finra and Nasaa have been engaged in preliminary discussions about whether to revamp the process that most brokers use for requesting "expungements."

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Advisor Pleads Guilty To Allocating Himself The Good Deals

by FA Staff

An investment advisor pleads guilty to fraud for operating a securities cherry-picking scheme.

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SEC Responds To Market Volatility By Ramping Up Bond-Fund Exams

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Surging market volatility is making regulators increasingly concerned that bond funds have loaded up on hard-to-sell assets.

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Global Regulators Agree New Capital Yardstick For Insurers

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Global regulators have written the first global capital rule for insurers, marking a key milestone in efforts since the 2007-09 financial crisis.

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SEC Intends To Deny Proposals For 'Non-Transparent' ETFs

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U.S. regulators said they plan to deny proposals for a new breed of actively managed ETFs that would be allowed to keep their holdings under wraps for months at a time.

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SEC Exam Chief To FAs: Give Baby Boomer Retirees A Fair Deal

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For the second day in a row, a top SEC executive stressed that protecting baby boomer retirees is a key objective of the agency.

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FBI: Big Financial Institutions May Aid Advisors' Cyber-Security Effort

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Big financial institutions may give cyber-security assistance to financial advisors and other companies in their supply chains, said the head of the FBI's cyber division.

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SEC Exec: Rollovers Among Top 2015 FA Exam Priorities

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A top priority next year for SEC examiners of RIA firms will be what kind of recommendations baby-boomer clients get when they roll over retirement plans into IRAs, says an agency official.

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Financial Planning Profession Needs More Regulation, Group Says

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The Financial Planning Coalition says there are insufficient regulations for financial planners and members of the public are the ones being hurt because of it.

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UBS Tells Brokers To Keep Selling Risky Puerto Rico Funds

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UBS is sticking with its recommendations that some clients buy risky Puerto Rico closed-end bond funds, despite hundreds of arbitration claims by investors, says an internal document.

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