Most Recent Blog Posts

Dec 31, 2015

Senior Hotline Sees Early Success

The Financial Industry Regulatory Authority’s Securities Helpline for Seniors has responded to over 2,500 calls and helped recover nearly $750,000....More
Dec 16, 2015

WATCH LIVE: Federal Reserve Meeting

Follow along as the staff provides up-to-the-minute on what advisors need to know about the Federal Reserve's decision to hike....More
Dec 11, 2015

SEC Goes After Soccer Club Owner for Fraud

The owner of an English soccer club is nothing more than a penny stock fraudster, mixing lies and threats to line his pocket with investors’....More
Dec 07, 2015

At Least We Can All Agree Fiduciary Is An Inconsistent Standard

How can the financial services industry expect investors to understand and care if their advisor is acting as a fiduciary when many participants don’....More
Dec 03, 2015

Democrats Step Up Fight Against Dodd-Frank Rollbacks

Progressive Democrats are pushing back hard on efforts to roll back Dodd Frank legislation and derail the Department of Labor’s fiduciary rule....More
Dec 02, 2015

Members of Congress Slam Robo Advice5

Congressional representatives slam the notion that so-called robo advisors can be an adequate source of investment advice in the wake of proposed....More
Nov 10, 2015

SEC Chair Mary Jo White Dances Around Fiduciary Timeframe

The head of the Securities and Exchange Commission played coy again on Tuesday when outlining a timeframe the industry can expect the the regulator’s....More
Nov 09, 2015

Tread Carefully When Outsourcing Compliance

Advisory firms that have outsourced their compliance programs may need to double check to ensure their providers are actually covering everything....More
Nov 05, 2015

Congressional Report Finds SEC, Others Lack Diversity

Minorities and women remain underrepresented at agencies that regulate the financial services industry, including at the Securities and Exchange....More
Nov 03, 2015

Greg Valliere: No Tax Increases—For Now

Don't expect Congress to push through any tax increases over the next few years, political analyst Greg Valliere said at FSI's annual Advisor Summit....More
Oct 27, 2015

Bill Aimed at Blocking DOL Fiduciary Rule Passes House

The U.S. House of Representatives passed legislation aimed at delaying the Department of Labor’s fiduciary rulemaking on Tuesday night....More
Oct 21, 2015

Brokers' Records Wiped Clean Too Often

Too many advisors are still getting their records wiped clean, according to a new report from the Public Investors Arbitration Bar Association....More
Oct 15, 2015

Expect Largely Unchanged DOL Rule in Early 2016

Advisors should expect the Labor Department to issue its finalized fiduciary rule in the first quarter of 2016 without too many substantial changes....More
Oct 13, 2015

Regulators Target Use of Seminars, Designations

State and federal securities regulators are targeting advisors who market “free lunch” seminars and use misleading senior investor designations,....More
Oct 01, 2015

Committee Passes Bill Aimed at Blocking DOL Fiduciary Rule

The House Financial Services Committee on Wednesday passed legislation aimed at delaying the Department of Labor’s fiduciary rulemaking....More
What's Rulebook?

Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun.

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