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Latest News
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Meridian Financial must pay $75,000 over Marketing Rule violations
The company claimed in an ad that it “refuse[d] all conflicts of interest” without providing context, the SEC said, among other charges.
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SEC fines Vanguard, Empower for misleading statements, conflicts of interest
Vanguard and Empower allegedly created conflicts of interest by incentivizing advisers to steer clients toward fee-based services, minus the requisite disclosure.
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ASIC roundup: Dishonest conduct, and bannings
The Australian Securities & Investments Commission’s latest actions and news, July 28 – August 1, 2025.
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SEC charges American Portfolios Advisors for misleading disclosures and falsified records
A routine SEC exam exposed backdated documents, hidden fee markups, and executive complicity.
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OPINION: SEC scraps 14 rule proposals, but don’t be naive
Former SEC regulator Janaya Moscony warns that rule scrapping doesn’t necessarily equate to “a hands off regulator.”
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SEC withdraws 14 rule proposals
The pending rules would have addressed hot-button regulatory areas like predictive data analytics, climate reporting, and cybersecurity risk management.
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Finfluencers pose a challenge for regulatory oversight
IOSCO points to their growing reach, which in turn is leading to concerns about conflicts of interest, fraud and unsuitable recommendations.
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FINRA Annual 2025: OBAs in the spotlight
Industry weighs in on FINRA rules requiring member firms to oversee their associated persons’ outside activities.