@RegEdArkovi

Archiving, Compliance & Market Intelligence tools for social media

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Joined October 2009
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#FINRA Launches New #Fintech Office thinkadvisor.com/2019/04/24/…

FINRA Launches New Fintech Office

FINRA's Cook said that innovation poses new challenges for their members, and "it is essential that we as regulators keep pace."

thinkadvisor.com
#FINRA to reconsider #suitability rule due to overlap of SEC's Reg BI thinkadvisor.com/2019/03/26/…

FINRA May Nix Suitability Rule Due to Reg BI Overlap

If the regulator keeps the rule, it will likely make changes to avoid inconsistencies, Chief Legal Officer Robert Colby said.

thinkadvisor.com
#SEC Seeks Input on Advisors' Custody of Digital Assets thinkadvisor.com/2019/03/13/…

SEC Seeks Input on Advisors' Custody of Digital Assets

Issues have been raised about the regulatory status of advisors' custodial trading practices involving certain assets.

thinkadvisor.com
State securities regulators back Reg BI with improvement. #RegBI #NASAA investmentnews.com/article/2…
FINRA's Top Fine Categories in 2018. #FINRA thinkadvisor.com/2019/03/04/…

FINRA's Top Fine Categories in 2018

It appears FINRA is "coming down harder" when it decides to bring a case, a lawyer says.

thinkadvisor.com
FINRA to Issue FAQ on 529 Share Class Initiative, May Extend Compliance Dates. #FINRA #529 thinkadvisor.com/2019/02/28/…

FINRA to Issue FAQ on 529 Share Class Initiative, May Extend Compliance Dates

"People have had a lot of questions about how to engage in the initiative," said FINRA enforcement chief Schroeder.

thinkadvisor.com
SEC Regulation Best Interest allows harmful broker practices, state regulators say. #SEC #Reg #BI investmentnews.com/article/2…
NAIC Gets Plenty Of Advice On Annuity Sales Rule insurancenewsnet.com/innarti…

Speak Out: NAIC Gets Plenty Of Advice On Annuity Sales Rule

A National Association of Insurance Commissioners' working group debated its annuity sales model throughout 2018 -- mostly without success due to a few thorny issues. Finally, they put out a draft...

insurancenewsnet.com
NAIC Group Puts IUL Illustration ‘Multipliers’ Under Microscope insurancenewsnet.com/innarti…

NAIC Group Puts IUL Illustration 'Multipliers' Under Microscope

A National Association of Insurance Commissioners' subgroup had disagreement today during its first conference call today on IUL illustrations. The issue is whether IUL multipliers are fooling...

insurancenewsnet.com
Finra exams to probe compliance with elder abuse rules investmentnews.com/article/2…
Regulators renew focus on best execution investmentnews.com/article/2…
2019 FINRA Annual Risk Monitoring and Examination Priorities Letter finra.org/industry/2019-annu…
Fiduciary regulations continue to advance in states as SEC mulls national standard investmentnews.com/article/2…
Government Shutdown Could Delay Reg BI Rollout advisornews.com/innarticle/g…

Advisor News Archives

News, trends and helpful peer advice for financial advisors.

insurancenewsnet.com
Government Shutdown Could Delay Reg BI Rollout ow.ly/t3kx30njpkz
SEC's 6 Compliance Exam Priorities for 2019 thinkadvisor.com/2018/12/20/…
SEC warning: Advisor texting and social media on watch financial-planning.com/news/…

SEC warning: Advisor texting and social media on watch

The regulator laid out detailed guidelines for how planners should be communicating with clients electronically.

financial-planning.com
Clayton tells lawmakers advisers can skirt fiduciary standard ow.ly/Zjkx30mYytI ow.ly/Zjkx30mYytI
SEC Custody Rule Up for Review thinkadvisor.com/2018/12/05/…

SEC Custody Rule Up for Review

Commenters will likely request that the rule be scaled back in certain respects, said attorney Cliff Kirsch.

thinkadvisor.com
SEC, DOL Share Details on Plans for Advice Standards thinkadvisor.com/2018/11/28/…

SEC, DOL Share Details on Plans for Advice Standards

Both regulators are expected to finalize rules for conduct standards by September 2019.

thinkadvisor.com
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