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 the last several years, industry experts (and WealthManagement.com) have talked about the small independent broker/dealer as if it were an endangered species. Sure, many small b/ds—bogged down by increasing regulation, compliance costs, li...
The Department of Labor has made it a top priority to put out its long-awaited and highly controversial fiduciary proposal this year, but now the DOL faces new pushback from Congressional leaders. This week, 32 members of Congress—mostly fr...