Conflicts of Interest and Antifraud Responsibilities

The SEC has fined a Kihei, Hawaii resident $50,000.00 and ordered the disgorgement of nearly $500,000.00 in connection with “multiple breaches” of his fiduciary duty and violations of antifraud provisions... [...]

As of June 1st, nearly 60 of FINRA’s e-learning courses will be eligible for CE credits for CFP professionals, who must complete a minimum of 30 CE hours every two... [...]

The SEC is seeking public opinion regarding the standard of care, conflicts of interest, regulation, disclosures, technologies, and investor confusion in relation to the standard of conduct applicable to retail... [...]