Jul 19, 2024 View in Browser

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Compliance Watch

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Analysis

DOL Fiduciary Rule Mania: What's Happening and Where It's Headed

By Melanie Waddell

Lawmakers and opponents of the rule are piling on, but lawyers urge advisors to keep pace with compliance.

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News

Fidelity Hits Back at Fired Advisor's Reg BI Lawsuit

By Dinah Wisenberg Brin

The advisor was fired for "deceptive misconduct," not for reporting rulebreaking tied to sales pressure, Fidelity says.

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News

Broker Violated Reg BI With Mutual Fund Switches: FINRA

By Melanie Waddell

The Class A share switches in two older clients' accounts led to nearly $41,000 in excessive fees, FINRA says.

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News

UBS to Pay $850K Fine Over Rep's Unapproved Third-Party Sales

By Melanie Waddell

A UBS rep sold clients a "fixed annuity" offered by an entity formed by his friend, according to FINRA.

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News

Couple Sues Schwab and Hightower, Saying Fraudsters Looted Their Accounts

By Dinah Wisenberg Brin

Thieves turned off electronic notifications and stole nearly $1 million through small transactions, the suit says.

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Video

Supreme Court Ruling Ensures Juries in Many SEC Cases: SEC Roundup

By Nick Morgan and Tom Zaccaro

With the Jarkesy opinion, the agency may no longer pursue such claims through in-house enforcement proceedings.

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Resources

All About MYGAs: Primer for RIAs

Sponsored by: Flourish

This primer on Multi-Year Guaranteed Annuities (MYGAs) is tailored for RIAs and covers everything you need to know about MYGAs to help you better serve your clients.

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ON DEMAND

Applying A Holistic Financial Planning Approach To Achieve Alpha

Join this webcast as we explore practical methods to add alpha to your practice and enrich the financial planning journey through the intersection of technology, practice management, and financial wellness.

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