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.
With consultants looking for ways to manage growth and increased operational demands, compliance software is expected to gain much greater global adoption in the next few years.
A Phoenix-based financial advisor was booted from the industry this week after a disciplinary panel found he invested a number of elderly clients into high-risk securities by falsely touting the safety of the investments...
For firms that don’t pay their arbitration awards, Wall Street’s self-regulator plans to bar them from the industry and could seek to impose new rules to make collecting awards easier for investors...
Feb 26 The Financial Industry Regulatory Authority's board of governors has approved a plan that would require brokerage firms to disclose how much they mark up the price of most bonds they sell to retail customers, the Wall Street watchdog...
For advisors who sell products with trailing commission payments, such the sale of an annuity in an individual retirement account, their ongoing compensation may be subject to forfeiture under the Department of Labor’s (DOL) upcoming...
Vermont’s financial regulator proposed new securities rules on Friday, requiring advisors to adopt increased safeguards around cybersecurity and elder financial abuse. The new rules, based on NASAA (North American Securities Administrators...
They come in all shapes and sizes.
Mattel recently revealed a whole new line of its popular Barbie dolls, with "real life" body types - tall, petite and curvy. And while there are flaws in limiting the body types to three, as well as intro...