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 SEC chairman said the agency’s proposed rules around improved disclosures and a best interest standard for broker/dealers and advisors are meant to meet the reasonable expectations of clients, regardless of the business model.
For the second time, a three-judge panel ruled against the state attorneys general of New York, California and Oregon to intervene in the case against the DOL fiduciary rule.
Two House Republicans questioned the Securities and Exchange Commission's success rate of administrative law judges, but enforcement officials argue that the path is similar to federal court.
