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.
Some advisors have long ignored parts of ERISA when consulting participants of 401(k) plans. Now they don't have to. Still, the Street is confused over what the new pension laws really mean when it comes to reirement advice
If you've got legal trouble, October may be your lucky month: It's mediation month. The program of events, sponsored by the NASD, kicks off on Oct. 3 at the New York City Bar Association in New York City. Perks include half price on all mediation...
The Securities Industry Association (SIA) and Wayne Klein, the director of Utah's Division of Securities, have agreed to put on hold Utah's recently approved “failure to deliver” law
Registered reps always have an obligation to do what is in the best interests of their customers, which includes making recommendations that are suitable for their investment objectives and risk tolerance.