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.
House lawmakers introduced legislation on Friday that would block the Department of Labor's fiduciary proposal from going into effect if not approved by Congress and set up an alternate best interest standard for advisors...
The Financial Industry Regulatory Authority submitted a proposed rule to the U.S. Securities and Exchange Commission late Wednesday night that would require broker/dealers to provide educational information to customers they’re seeking...
In a report released Wednesday, FINRA’s Dispute Resolution task force, charged with suggesting ways the self-regulatory organization can improve its method of mediating conflicts between brokers and investors, said...
Just as each firm must tailor its policies and procedures to address their specific business, there is no 'one size fits all' model when it comes to outsourcing compliance needs.
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...
