More in Regulation & Compliance

  • 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
  • Jul 7, 2014
    blog

    RIAs Increase Compliance Staff, Training

    RIA firms continue to increase their investment in compliance, boosting the number of dedicated staff and overall employee training, according to a recent survey....More

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