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Regulators: Crypto, Fake IRAs Increasingly Used to Scam Older Investors

Representatives from NASAA, the SEC, and FINRA spoke about the need for financial advisers and firms to be trained to notice more intelligent, and increasingly bold scams from fraudsters. ....

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Regulators urge financial advisors to help stem tide of elderly fraud

Although planners may not have fiduciary duty to protect older clients, many see it as an ethical obligation. ....

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Raymond James case offers costly warning ahead of Reg BI ramp-up

The firm's latest supervisory case involving its oversight of former brokers comes as regulators and client attorneys have more tools under the 2-year-old rule. ....

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NASAA Announces Speakers and Agenda for November 3 "NASAA's Senior Issues and Diminished Capacity Committee Presents" Webcast

/PRNewswire/ The North American Securities Administrators Association (NASAA) today announced the speakers and agenda for NASAA s next "Senior Issues and. ....

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SEC To 'Expand' Scope of Reg BI Exams in 2021

SEC To Expand Scope of Reg BI Exams in 2021
While previous exams looked at good faith efforts by firms to comply, next year the commission will focus on specific rule requirements that go beyond suitability standards.
After gauging firms’ compliance with Regulation Best Interest by ‘good faith’ efforts made since it was implemented earlier this year, the SEC will conduct “more focused examinations” in 2021, according to a statement from the Commission’s Division of Examinations.
“Building on staff’s initial assessments, Division staff intends to expand the scope of examinations in 2021 that focus on specific requirements of the Regulation, including those that go beyond suitability standards and require broker-dealers to have a reasonable basis to believe that recommendations are in retail customers’ best interests,” the statement said. “The Division also intends to conduct enhanced transaction testing designed to examine whether broker ....

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