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.
The Federation of Americans for Consumer Choice, a trade organization for insurance agents and agencies, argues that new interpretations in the rule have similar ramifications of the vacated Obama-era regulation.
The Superior Court in Fulton County, Ga., overturned a decision by FINRA after plaintiffs argued the firm’s counsel unfairly manipulated a list of arbitrators.
Presidents and CEOs at Lincoln Investment, Stifel and Raymond James discussed the regulatory regime in Washington and the impact of the COVID-19 Omicron variant during a discussion at FSI’s OneVoice conference.
Ophelia Snyder, 29, is already managing $2.5 billion. She’s now teaming up with Cathie Wood to bring a Bitcoin ETF to the U.S. — if regulators allow it.
In some cases, applicants claimed they’d gained years of experience in just a few days, or that their annual incomes increased less than one day after a prior application had been denied.
The Massachusetts secretary of the commonwealth said the alleged actions by Vanguard and others left smaller investors vulnerable to increased risk and larger tax liabilities.
