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.
As FINRA considers whether non-attorneys should continue to represent investors in arbitration, a new PIABA report spotlights a disturbing pattern of problems with some of those representatives.
Investors should avoid knee-jerk changes to their portfolios post-election, predictions for the CRE market, and Securities America teams with Jefferson National for DOL compliance.
The report is the third of four expected from Treasury as it completes a comprehensive review of existing financial rules, as mandated by an executive order from President Donald Trump in February.
Fallout from the Senate vote on arbitration clauses, Douglas Boneparth takes Tony Robbins to task, and another financial advisor is charged with fraud.