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Top 5 Regulatory Alerts – April 2017

Here are our Top 5 Regulatory Alerts for April 2017, ranked by significance.  We have also included the Top 5 most read Alerts (other than Best of the Web and Top 5).

 

Top 5 Regulatory Alerts – April 2017

  1. ADVISER FAILED BEST EXECUTION WHEN RECOMMENDING 12B-1 FUND CLASS (4/5/17)
  2. BROKERS CAN BLOCK DISBURSEMENTS TO SENIOR INVESTORS UNDER NEW FINRA RULE (4/3/17)
  3. ADVISER JAILED FOR FRAUD BASED ON EMAILS THAT CROSSED STATE LINES (4/17/17)
  4. SEC BARS DUAL-HATTED EXECUTIVE FOR INADEQUATE FORM ADV DISCLOSURES (4/4/17)
  5. LAWYER BARRED FOR FAILING TO CONDUCT ADEQUATE DUE DILIGENCE (4/11/17)

  

Most Read – April 2017

  1. SEC ACCUSES RISK MANAGEMENT PROFESSIONAL OF INSIDER TRADING (4/26/16)
  2. SEC BARS DUAL-HATTED EXECUTIVE FOR INADEQUATE FORM ADV DISCLOSURES (4/4/17)
  3. MASSACHUSETTS FINES LARGE BD $1 MILLION FOR SALES CONTEST (4/13/17)
  4. ADVISER JAILED FOR FRAUD BASED ON EMAILS THAT CROSSED STATE LINES (4/17/17)
  5. ADVISER FAILED BEST EXECUTION WHEN RECOMMENDING 12B-1 FUND CLASS (4/5/17)

Top 5 Regulatory Alerts – March 2017

 

Here are our Top 5 Regulatory Alerts for March 2017, ranked by significance.  We have also included the Top 5 most read Alerts (other than Best of the Web and Top 5).

 

Top 5 Regulatory Alerts – March 2017

  1. SEC CHAIRMAN CALLS FOR ACTIVE SECURITIES ENFORCEMENT (3/29/17)
  2. HEDGE FUND MANAGER OVER-RELIED ON THIRD PARTY PRICING SERVICE (3/30/17)
  3. ADVISER BARRED FOR FAILING TO REGISTER AS BD FOR PRIVATE FUND SALES (3/2/17)
  4. FINRA PROPOSES 7-YEAR HIATUS PERIOD BEFORE REQUIRING A RE-TAKING OF EXAMS (3/20/17)
  5. LARGE ADVISER PENALIZED $3 MILLION OVER REVENUE SHARING (3/10/17)

 

Most Read – March 2017

  1. CCO USED POSITION TO AID/ABET BROTHERS’ SECURITIES FRAUD SCHEME (3/27/17)
  2. FINRA PROPOSES 7-YEAR HIATUS PERIOD BEFORE REQUIRING A RE-TAKING OF EXAMS (3/20/17)
  3. HEDGE FUND MANAGER OVER-RELIED ON THIRD PARTY PRICING SERVICE (3/30/17)
  4. SEC CHAIRMAN CALLS FOR ACTIVE SECURITIES ENFORCEMENT (3/29/17)
  5. “WRONG ADDRESS” NOT A DEFENSE FOR BROKER’S FAILURE TO RESPOND TO FINRA REQUESTS (3/28/17)