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

    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
  • Jun 12, 2014
    blog

    FSI Skeptical About FINRA BrokerCheck Rule Feasibility

    Will FINRA’s proposed rule requiring firms to link to BrokerCheck records increase investor awareness? The Financial Services Institute remains unconvinced, contending the regulator needs to perform a cost-benefit analysis and weigh alternative options....More
  • Jun 10, 2014
    blog

    IAA To SEC: No Third-Party SRO Exams

    Investment adviser advocates are on the offensive following SEC Commissioner Dan Gallagher’s bid to look at possibility of an SRO (self regulatory organization) for oversight of RIAs....More

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