State Regulators Enforce Fee Transparency with $19 Million Crackdown on Financial Firms State Regulators Enforce Fee Transparency with $19 Million Crackdown on Financial Firms Financial firms across the United States are facing a significant crackdown on opaque fee structures. State regulators, working together through a coordinated task force, have imposed a $19 million settlement on major firms for failing to clearly disclose transaction-based fees to retail clients. This e

Navigating the Upcoming Regulation Crypto: What RIAs Must Prepare For Navigating the Upcoming Regulation Crypto: What RIAs Must Prepare For For years, Registered Investment Advisers (RIAs) have faced a tough challenge when dealing with digital assets. The technology behind cryptocurrencies and blockchain moves fast, but the regulatory framework has lagged behind. This mismatch has made compliance difficult and uncertain. That is about to change. The Securities and Exchange Co

Navigating the SEC's New Rulemaking Agenda: What Compliance Pros Need to Know Navigating the SEC's New Rulemaking Agenda: What Compliance Pros Need to Know Compliance professionals, take a deep breath. For years, managing SEC rules has felt like running an obstacle course in the dark while wearing concrete boots. The complexity and rigidity of certain regulations, especially around political contributions and recordkeeping, have created significant challenges for Registered I