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SEC Regulation and Compliance

Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.

Webcasts

Attend free webcasts to get the info you need to solve business challenges!

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Ex-Morgan Stanley Rep Ran Multimillion-Dollar Ponzi Scheme, SEC Says
Barred Broker’s Probation Revoked After Unauthorized Caribbean Trip
Ex-UBS Rep Who Spent Client Money on Girlfriends’ Gifts Pleads Guilty
FinCEN Wants You to Help Fight Foreign Kleptocrats
Ex-Head of RIA Sentenced to 12 Years in Prison Over $120M Scam

Podcasts

Listen to free podcasts to get the info you need to solve business challenges!

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Money Management Is Out, Personalization and Planning Are In: Fidelity Exec
Don't Make These Costly D&O Insurance Mistakes: SEC Roundup
Biden Nominates 2 New SEC Commissioners
Trendspotter: SEC Cracks Down on Revenue Sharing, Including 12b-1 Fees
SEC Warns Advisors on Rollovers Under Reg BI