More in Regulation & Compliance

  • Dec 11, 2014
    Article

    Former SEC Chair Harvey Pitt Endorses Third Party Examiners for RIAs

    Every single investment advisory firm registered with the Securities and Exchange Commission should be examined every year, said Harvey Pitt, the former SEC commissioner, and the SEC should certify outside auditors to conduct the exams....More
  • Nov 10, 2014
    blog

    SEC Remains Undecided on Fate of Fiduciary Standard

    The Securities Exchange Commission remains undecided on whether or how to move forward on a uniform fiduciary standard....More
  • Oct 2, 2014
    blog

    FSI Responds to CARDS by Forming Task Force

    FSI formed a task force of broker/dealer executives to analyze and respond to FINRA's Comprehensive Automated Risk Data System (CARDS) proposal....More
  • Sep 9, 2014
    blog

    Why the Existing Fiduciary Rule Won’t Work for Brokerages 1

    As part of Fiduciary September festivities, RBC Wealth Management’s John Taft challenged fiduciary standard advocates, and explained why the current standard won’t fly in the brokerage world....More
  • Sep 4, 2014
    blog

    The SEC Needs to Fix the Problem It Created

    Investors are being deceived about the nature of the advice they're getting, and it's a problem the SEC has created, says investor advocate Barbara Roper....More

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