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
- ADVISER FAILED BEST EXECUTION WHEN RECOMMENDING 12B-1 FUND CLASS (4/5/17)
- BROKERS CAN BLOCK DISBURSEMENTS TO SENIOR INVESTORS UNDER NEW FINRA RULE (4/3/17)
- ADVISER JAILED FOR FRAUD BASED ON EMAILS THAT CROSSED STATE LINES (4/17/17)
- SEC BARS DUAL-HATTED EXECUTIVE FOR INADEQUATE FORM ADV DISCLOSURES (4/4/17)
- LAWYER BARRED FOR FAILING TO CONDUCT ADEQUATE DUE DILIGENCE (4/11/17)
Most Read – April 2017
- SEC ACCUSES RISK MANAGEMENT PROFESSIONAL OF INSIDER TRADING (4/26/16)
- SEC BARS DUAL-HATTED EXECUTIVE FOR INADEQUATE FORM ADV DISCLOSURES (4/4/17)
- MASSACHUSETTS FINES LARGE BD $1 MILLION FOR SALES CONTEST (4/13/17)
- ADVISER JAILED FOR FRAUD BASED ON EMAILS THAT CROSSED STATE LINES (4/17/17)
- ADVISER FAILED BEST EXECUTION WHEN RECOMMENDING 12B-1 FUND CLASS (4/5/17)
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