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.
A House Republican introduced a bill that would delay the effective date of the DOL rule by two years. At the same time, a House committee called the rule “reckless” and “misguided.”
President-elect Trump’s choice for SEC chair, Jay Clayton, has spoken very little on the record about the investment advisory industry he likely will soon oversee. Some observers say the change could be a welcome opportunity to reset the agency's...
In its annual press briefing, the advocacy group said the U.S. should take a page from Europe, which recently conducted a review of its regulatory framework for financial services.
The department’s regulatory action continues to draw fire. It’s either too much or not enough, depending on the advisor’s view. Here’s why it doesn’t matter.
It may be too late for a Trump administration to put the brakes on the impending Department of Labor fiduciary rule, but broader industry regulations going forward are likely to be muted.