Regulatory Updates

Regulatory Updates provides news, insight and market knowledge on hot button regulatory and compliance issues impacting the financial services industry. Regulatory Updates is designed to assist its readers in navigating the changing regulatory and compliance landscape in the United States and globally.


FinCEN Warns Financial Institutions to Guard Against Corrupt Venezuelan Money Flowing to U.S.

The Financial Crimes Enforcement Network (FinCEN) issued an advisory to alert financial institutions of widespread public corruption in Venezuela and ...
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State Street Paying Penalties to Settle Fraud Charges and Disclosure Failures

The Securities and Exchange Commission today announced that State Street has agreed to pay more than $35 million to settle ...
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SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors

The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening ...
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Adviser Charged With Stealing Investor Funds

The Securities and Exchange Commission today charged a New Jersey-based tax preparer and investment adviser with stealing more than $1 ...
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Commission Statement on T+2 Implementation

Last week, on September 5, 2017, the securities industry successfully implemented a shortened settlement cycle for most securities transactions, pursuant ...
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SunTrust Charged With Improperly Recommending Higher-Fee Mutual Funds

The Securities and Exchange Commission today charged the investment services subsidiary of SunTrust Banks with collecting more than $1.1 million ...
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FINRA Hearing Panel Fines C.L. King & Associates $750,000 for Negligent Misrepresentations and Omissions in Connection with Death Put Investments and AML-Related Violations

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA extended hearing panel censured Albany, NY-based broker-dealer ...
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SEC Monitoring Market Impact of Hurricane Harvey

The Securities and Exchange Commission is closely monitoring the impact of Hurricane Harvey on investors and capital markets. Chairman Jay Clayton ...
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Regulatory Updates


Regulatory Updates


Regulatory Updates


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