More in Regulation & Compliance

  • Jan 28, 2016

    FINRA Plans Changes to Registration and Testing Rules

    The Financial Industry Regulatory Authority will be working on a number of rule changes in 2016, including moving forward on its plan to revamp license testing, as well as creating a waiver program for those taking a leave of absence or performing different job functions....More
  • Jan 11, 2016

    ETF, Variable Annuity Sales Top SEC's 2016 Watchlist

    The Securities and Exchange Commission will be looking more closely at exchange traded funds and variable annuities this year....More
  • Jan 4, 2016
    The Daily Brief

    What's Your Password Worth?

    Cyber criminals are paying a pittance for passwords, according to MarketWatch....More
  • 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 from investors since the service launched in April....More
  • Dec 31, 2015
    The Daily Brief

    E.T. Screenwriter's Will Missing

    Famed E.T. screenwriter Melissa Mathison passed away in November and nobody can find her will....More
  • Dec 30, 2015
    The Daily Brief

    'Affluenza Teen' Collared In Mexico

    Famed “affluenza teen” Ethan Couch and his mother Tonya were detained by authorities in Mexico on Tuesday after the two fled the country in the wake of a video depicting an apparent probation violation by the young man....More
  • Dec 29, 2015
    The Daily Brief

    Robo CEO's 2016 FinTech Predictions

    Michael Kane, the co-founder and “master sensei” of digital investing firm Hedgeable, thinks 2016 will be the year the robo advisor term is finally retired....More
  • Dec 28, 2015
    The Daily Brief

    What Happens When You Ignore Millennial Clients

    A 24-year-old client with $3,000 in an IRA account recently wrote in to Slate, “My financial advisor is a total sketchball!! What do I do?”...More
  • Dec 2, 2015

    Members of Congress Slam Robo Advice 5

    Congressional representatives slam the notion that so-called robo advisors can be an adequate source of investment advice in the wake of proposed changes to Fiduciary rules around retirement accounts....More
  • Dec 1, 2015
    The Daily Brief

    Same-Sex Marriage Not Legal On Tribal Land

    There are still a number of places where couples are barred from marrying without the involvement of overzealous county clerks, namely Tribal Reservations....More

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