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.
What took the Department of Labor five years to accomplish will take lawmakers just over a month. A group of bipartisan lawmakers said Friday they plan to introduce a legislative proposal to ensure advisors act in their clients' best...
Dec 3 Billionaire investor Mark Cuban is lashing out against the U.S. Securities and Exchange Commission over its push against legislation that would require government agencies to get warrants before accessing emails of people under investigation...
Members of Congress on Wednesday criticized the Department of Labor’s support of so-called robo advisors, saying the online automatic investment tools were not an acceptable alternative to face-to-face interactions...
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There’s been a great deal of excitement in the past year over the legalization of same-sex marriage nationwide. But there are still a number of places where same-sex couples are barred from marrying without the invo...
The Securities and Exchange Commission recently approved the Financial Industry Regulatory Authority’s plan to reduce the previously established 15-day waiting period to publish details of advisor terminations and investigations on...
The Financial Industry Regulatory Authority levied a $2.6 million fine against Scottrade on Monday for failing to retain more than 168 million outgoing emails and record email communications in the proper format...
Democratic and Republican lawmakers criticized the Department of Labor’s fiduciary rule Tuesday, saying they’d use every tool at their disposal to defeat the measure.
Representatives French Hill (R-Ark.) and David Scott (D-Ga.) told attendees...
Advisory firms that have outsourced their compliance programs may need to double check to ensure their providers are actually covering everything. ...
Regardless of how the DOL’s final rules take shape, the entire conversation around conflicts of interest is healthy for the financial services industry and investors, providing transparency and insight into the retirement advice marketplace.