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 evaluation and restructuring began when Susan Schroeder, who has been with FINRA since 2011, was named executive vice president and head of enforcement last summer.
With the regulations being implemented for the 2019 plan year, now is the time for plan sponsors to ensure that systems are in place to capture the additional data that will be required.
The regulator will begin conducting reviews within 15 days after a firm applies to register an individual with FINRA, something that was previously done annually.
Vanguard expands commission-free ETFs to 1,800, William Galvin launches private placement investigation and scooter startup Spins is offering STOs backed by company revenue.
