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.
Abiding by expanded regulations will take more time, input, effort and oversight—said differently, maintaining the status quo will require more investment.
Six fiduciary groups have joined forces to try and ensure the SEC makes the difference between “advisors” and “brokers” explicit when setting standards of conduct for the industry.
From 2008 to 2013, Merrill hid that the fact that client requests to buy and sell stock were being handled by proprietary trading firms and other outside entities, the Securities and Exchange Commission said Tuesday.
FINRA is overhauling its registration and disclosure programs, advisors aren’t worried about market volatility and how to talk to clients about betting on the World Cup.
"Cursed" is how one commentator described the early drafts of the commission's proposed disclosure forms, a key component of the new best interest standard for brokers
The DOL didn’t exercise the last legal recourse it had to defend the controversial rule, effectively ending the short life of the Obama-era regulation.
