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.
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...
Legislation aimed at blocking the Department of Labor’s fiduciary rule hit the Senate on Thursday, mirroring a bipartisan initiative already moving ahead in the House of Representatives...
Bipartisan legislation aimed at curbing the reach of the Department of Labor’s fiduciary rule for financial advisors is heading to a full vote by the U.S. House of Representatives...
They're just like the rest of us.
TD Ameritrade said millennials were invested heavily in individual stocks last year, representing 28 percent of new accounts opened at TD in 2015. Millennial investors really aren’t as different as some su...
The Financial Industry Regulatory Authority will be working on a number of rule changes in 2016, including revamping license testing and creating a waiver program for those taking a leave of absence or performing different job functions...
There are six Priority Intersections identified in both Priority Letters this year. These are the topics that senior management and compliance officers should focus on.
The Department of Labor’s fiduciary rule could create a wave of so-called “orphan accounts” at independent broker/dealers, IBD executives said during the Financial Services Institute's OneVoice conference Tuesday. ...
