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 states can do what they will, but the association of state securities regulators is focused on making its position clear on Regulation Best Interest.
Representative Stephen Lynch says it’s a weak standard, one that leaves a gap between what was proposed and what was mandated in Section 913 of Dodd-Frank.
