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Compliance Watch

Apr 15, 2021


Ed Slott's Last-Minute Tax Tips

By Melanie Waddell

One tip: Remember that the May 17 tax filing deadline doesn't apply to first-quarter estimated tax payments. Read More


Bill Would Boost Social Security for Some Public Workers

By Melanie Waddell

The bill would establish a "new, fairer" Windfall Elimination Provision formula, Rep. Neal says. Read More

Sponsored By ALM Partners

The Top 10 Career Killers and How to Avoid Them

Find out what the top 10 career kills are so nothing and no one can derail you on your professional path again! Read More


FINRA Fines Ex-Broker Who Covered Up Conviction for Sex With a Minor

By Jeff Berman

The former rep "willfully failed to timely amend" his Form U4 to disclose three felony charges, FINRA says. Read More


Fidelity, Other Investment Firms Form Crypto Lobbying Group

By Bernice Napach

The Crypto Council for Innovation also includes Coinbase, Square and Paradigm. Read More


FINRA Zooming In on Platform Outages, Suspicious Activity Reports

By Melanie Waddell

The regulatory group also is looking at broker-dealer communications about digital assets in its exams. Read More


SEC's ESG Plans for Public Companies May Get Frosty Reception in Court

By Nicolas Morgan

However, the political pressure on Gary Gensler to approve broader disclosures will be immense. Read More

Sponsored By ALM Partners

Best-Practices Leadership: Team Management Tips

Inside this report, you’ll get 15 eye-opening tips on how to improve your leadership team management and motivate your employees. Read case studies of team-building exercises — what’s worked and what hasn’t. Read More


Your Breakaway Playbook: Navigating Today's Challenges on the Road to Independence

Sponsored by: Orion Advisor Technology

As a breakaway advisor, choosing a tech partner is a critical part of your new firm’s success. Here’s what to look for. Learn More


Year of the Ox -- Reasons to Be Bullish on China

Please join us for an interactive discussion with Matthews Asia Investment Strategist Andy Rothman and Portfolio Managers Winnie Chwang and John Paul Lech as they explore how portfolios can gain exposure to the world's second largest economy. Learn More

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