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.
Investors could be losing 10 to 15 percent of their potential retirement savings because of conflicted advice from brokers, according to a memo written by White House economic advisors that could galvanize presidential support for new rules...
The Consumer Federation of America and Americans for Financial Reform have joined together with the nation's largest employment unions and the AARP to mount a public campaign supporting of the Department of Labor’s proposed fiduciary...
In the annual exam priorities letter issued Tuesday by the SEC’s Office of Compliance Inspections and Examinations, the regulator said it will keep a close eye on the suitability of advisors' recommendations and sales practices around...
Pershing LLC must pay a $3 million civil fine for violating a rule that requires the firm to protect customers' funds and securities from broker-dealer misuse, among other things, Wall Street's industry funded watchdog said on Monday...
Former SEC Chair Harvey Pitt (left) talks with TD Ameritrade Institutional's Skip Schweiss at the MarketCounsel annual conference.
Every single investment advisory firm registered with the Securities and Exchange Commission should be examine...