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March 15, 2019

Broker-Dealers Rebuked for “Web of Toxic Incentives” in Congressional Hearing on Reg BI
Witnesses say SEC's Regulation Best Interest isn't enough to fix the perceived problem — in fact, investors would be better off without it.
Bernie Madoff-Type Fraudsters May Find it Harder to Hide if This Law Passes
Proposed bipartisan bill would give watchdog 10 years to recoup fraud-related compensation.
JPMorgan Loses Exec to Key Competitor
The exec, who headed a New York branch for JPMorgan, has joined First Republic Private Wealth Management.
Wedbush Settles with SEC for $250,000 Over Supervisory Failures
The firm has also named a new head of wealth management.
SEC Probes RIA Custody of Digital Assets
The regulator wants to hear about issues related to trading practices that aren’t processed or settled on a delivery versus payment — non-DVP — basis.

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