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 regulator is reaching out to four-year schools and graduate programs to educate them about the new exam, which could be taken without a sponsor firm.
Morgan Stanley settles charges with the SEC, Merrill plans to expand impact investing capabilities for advisors and the Valentine's Day index is released.
An LPL advisor recently lost his case against the IRS, calling into question the legitimacy of a common practice in the independent b/d space—operating as an S Corporation.
The DOL sent two documents to the Office of Management and Budget seeking to delay the fiduciary rule for 180 days and seek new public comment on the rule.
Chief Judge Barbara Lynn of the Northern District of Texas issued the ruling hours after the Justice Department asked her not to, pending a new review ordered by the Trump Administration.
