Regulation and Compliance issues for Wealth Professionals can be challenging to navigate especially when the SEC is involved. Catch the latest news and analysis on compliance updates that impact financial advisors.
The task force is headed by former FBI Special Agent Greg Ruppert and has already made dozens of referrals to the SEC about potentially fraudulent activity.
Next, judges in the 2nd U.S. Circuit Court of Appeals will hand down a ruling in the group's case against the SEC. A favorable decision for the network could strike down Reg BI and lead to improved consumer protections.
