AdvisorHub
A Conversation with Cambridge Investment Research Founder Eric Schwartz
InvestmentNews.com
Judge OKs Release of $400 Million to Besieged GPB Investors
WealthSolutionsreport.com
WSR Honors PRO 4: Top Wealth Management Professional Services Firms
WealthSolutionsreport.com
Taking A Deep Dive Into Pooled Employer Plans
AdvisorHub.com
Essential Edge and RegEd Partner to Deliver “End-To-End Outsourced Solution” for Branch Exams
InvestmentNews.com
Layoffs Looming in Wild 2025?
AdvisorHub.com
Investment Management Strategies and Solutions Trends Shaping 2025
AdvisorHub.com
Crypto’s Renewed Relevance for Wealth Management: Is Your Firm Prepared?
InvestmentNews.com
Convicted of Fraud, GPB Executives Object to Plans to Return Money to Investors
InvestmentNews.com
Finra Ends Year with Penalties Against Big Banks
AdvisorHub.com
SEC Oversight in 2025: Exam Priorities and Political Realities
InvestmentNews.com
SEC Slams Wells Fargo, Merrill with $60 Million in Penalties Over Clients’ Cash
AdvisorHub.com
Ready for Launch? The Role of RegTech in the RIA Start-up Process
AlternativesWatch.com
How Does Your Cybersecurity Tech Stack Stack Up?
AdvisorHub.com
A New Company Highlights the Compliance and Governance Implications of Serving the UHNW Segment
AdvisorHub.com
Cybersecurity in Wealth Management: Addressing Emerging Threats; Embracing Effective Solutions
AdvisorHub.com
AcquireUp Now One of Largest Independent Marketing Firm for Financial Advisors
InvestmentNews.com
SEC Penalizes Brighton Securities Over Fee Disclosures, Conflicts
InvestmentNews.com
Convicted GPB Executives Want a Get Out of Jail Card
InvestmentNews.com
Fake South Florida Advisors Target Venezuelan-Americans in Scheme, SEC Alleges
WealthSolutionsReport.com
Artificial Intelligence in Regtech: The Real Deal?
Investmentnews.com
Posing as a Broker, Maryland Insurance Agent Grabs Clients' Savings
Investmentnews.com
Finra Fines Spike 63% in 2023: Report
InvestmentNews.com
Finra Bars Two Ex-Raymond James Advisors Who Sold Unapproved Products
InvestmentNews.com
Firms Must Take Reasonable Steps to Avoid Financial Advisors' Selling Away, One Compliance Expert Noted.
investmentnews.com
Interactive Brokers Latest BD to Report Data Breach
fa-mag.com
FINRA To BDs: Don't Blame Us For Your Back-To-Office Mandates
Investmentnews.com
SEC Bars Former Advisor, Crypto Trader
Investmentnews.com
SEC Sued Over Broker-Dealer Texting Fines Data
Investmentnews.com
FINRA Employees Saw a 4.7% Comp Bump in 2023
Finance.Yahoo.com
Essential Edge Compliance Outsourcing Services Expands Support Capabilities with Appointment of Jamie Schlag as Director
WealthSolutionsReport.com
How Remote Work Affects the Competition for Top Talent
RollCall.com
Wall Street Could be Cautious of Walz’s Seat on State Board
AvisorHub.com
A Bolt Out of the Blue: What the CrowdStrike Contagion Can Teach Wealth Management
Investmentnews.com
SEC Wants LPL to Pony Up $50 Million Over Messaging Apps, Texts
ABC27.com
Alex David Joins Advisory Board
WealthManagement.com
Colorado Securities Head Moves to Halt 'Imposter' Firms
Wealthmanagement.com/
Kitces Podcast Sparks Debate on Google Reviews
WGNTV.com
Essential Edge Commences Next Stage of Strategic Growth Plan by Naming New Board of Advisors
InvestmentNews.com
Cambridge, Lincoln Among Firms Hit by SEC's $81M Fine Blitz
Investmentnews.com
Reg BI Enforcement Poised to Take Next Step
Investmentnews.com
Online Brokers Misstep in Securities Lending: Finra
Yahoo! Finance
Essential Edge Officially Joins Orion Compliance Consultant Marketplace to Leverage Top-Ranked Technology
Wealth Solutions Report
Rising Compliance Risks Of NOT Discussing Life Settlements
AdvisorHub
Rob Franklin Joins Essential Edge Team as Senior Consultant
Financial Advisor IQ
'No Substitute' for In-Person? Industry Watchers Knock Remote Exams
IGNITES
Court Throws Out Crypto Case Against SEC
Digital Wealth News
Industry Veteran Robert Franklin Joins Essential Edge
wealthmanagement.com
'Pig-Butchering' Scams a Top Investor Threat, According to State Regulators
NSCP Currents
FINRA’s Social Media Influencer Guidance: A Conversation Between Sander Ressler and Tom Selman
IGNITES
Commonwealth Found Liable for Rev-Share Disclosure Failures
wealthmanagement.com
How Workable Are FINRA’s ‘Finfluencer’ Tips for Firms?
Investment News
Brokerages Need to Update Tech Systems to Show Reg BI Work to SEC
wealthmanagement.com
Advisor Group B/Ds Dodge Fines in Settling FINRA Charges
Wealth Solutions Report
Compliance Rescues Firms And FAs From Crypto Dumpster Fire
Wealth Solutions Report
ComplyConnect Spotlights Industry’s Top Regulatory Priorities
Yahoo! Finance/PRNewswire
Essential Edge Reinforces Leadership in Financial Services Compliance Consulting with Launch of Insurance Services Practice
wealthmanagement.com
Is a Great FINRA Purge Coming?
Investmentnews.com
Broker-Dealers and Bitcoin ETFs: To Sell or Not to Sell?
Wealth Solutions Report
Downstream WhatsApp Regulatory Woes for Wealth Managers
Investment News
FINRA Proposes 3-Year Pilot Program for Remote Office Inspections
Wealth Solutions Report
Supreme Court’s EPA Ruling Could Kill Fiduciary Rule 2.0 Efforts
wealthmangement.com
Report Finds 'No Evidence' of Secret Agreement Between Wells Fargo, FINRA
Wealth Solutions Report
Breakaway Advisors Launching RIAs Anxious About Compliance
Wealth Solutions Report
Regtech Rapidly Changes, Reflected in New CEO of Smarsh
Wealth Solutions Report
The Kids Are NOT All Right – Why HNW Wealth Managers Caved On Crypto
Wealth Solutions Report
Crypto Enters Crypt Of Horrors – How Can Firms and FAs Protect Themselves?
wealthmanagement.com
Decade-Old Dustup Continues to Haunt FINRA
Investment News
Brokerages Want Remote Office Inspections to be Part of New Normal
Wealth Solutions Report
The Future of Wealth Management Workflow Automation
Wealth Solutions Report
Case Study – How Small IBDs Can Leverage Compliance To Accelerate Growth Turnaround Strategies
Wealth Solutions Report
Every Financial Advisor’s Worst Crypto Nightmare
Wealth Solutions Report
The Crypto Craze Could Murder Financial Advisors’ Careers
WealthManagement.com
Help! My First-Ever Client Complaint!
WealthManagement.com
Reporting Unpaid Bills and Client Portfolio Disclosure Obligations
Wealth Solutions Report
Don’t Ask Forgiveness Versus Permission
Wealth Solutions Report
Silence Of the Spouses – Beware!
Wealth Solutions Report
Product Conflicts and Employee Harassment?
RegEd Webinar
Branch Inspections: Enforcement Trends, Regulatory Developments and the Latest Best Practices
Digital Wealth News
Rising Focus on Employee Compliance with Cryptocurrency Trading
IGNITES (a Financial Times Publication)
Foreside Snaps Up Compliance Firm
WealthManagement.com
Essential Edge is a Wealthies Finalist for Best Compliance/Law Firm!
Digital Wealth News
Future Crypto Regulations Take Center Stage in Wealth Management
WealthManagement.com
FINRA to Resume In-Person Hearings in July
WealthManagement.com
PIABA Pushes FINRA to Resume In-Person Arbitration Hearings
InvestmentNews
Remote Compliance Rises to the Challenge
Digital Wealth News
RegTech Firm Smarsh’s Annual Survey Underscores Rising Compliance Risks of Remote Work Model
Financial Advisor IQ
SEC to Prioritize Reg BI Compliance, Order Routing in 2021 B-D Exams
Digital Wealth News
Post-GameStop, Future Compliance Risks Could Reshape Wealthtech
RegEd Webinar
Maximizing Value From Your Branch Office Exams During Covid-19 and Beyond
InvestmentNews
Letter to the Editor on Branch Exams
WealthManagement.com
Cure for Branch Exams During Covid-19
Financial Advisor Magazine
Finra Is Failing on Guidance For Post-Pandemic Branch Examinations
WealthManagement.com
SEC Holds Firm on June 30 Reg BI Implementation Date
IGNITES (a Financial Times Publication)
COVID 19 Could Potentially Push SEC to Delay Reg BI
WealthManagement.com
COVID-19 Could Be a Harsh Test for Advisors’ Business Continuity Plans
WealthManagement.com
The Legal Risks of Failing to Disclose Up-Front Bonuses
Real Assets Adviser Magazine
Roundtable: Modernizing SEC and FINRA regulations?
ThinkAdvisor Magazine
Here's Why to Go With an Outsourced Compliance Pro
Financial Advisor Magazine
Essential Edge Launches OSJ/IBD Branch Compliance Inspection Service
WealthManagement.com
New Consultancy Goes After Thorny IBD Branch Exams