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 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.
This presidential election has been one of the most polarizing in U.S. history. Now that it is over, President Trump will get to work on a lengthy to-do list of challenges, questions and decisions on policies that will have a direct impact on...
It’s (really) easy to obsess over the complexity and confusion created by the DOL fiduciary rule. Here’s why that’s a big mistake. They're not giving up.
