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.
SIFMA, FSI and others filed an injunction against the Dept. of Labor, arguing emergency relief is needed pending their appeal and the department’s review of the fiduciary rule.
The regulator is reaching out to four-year schools and graduate programs to educate them about the new exam, which could be taken without a sponsor firm.
Morgan Stanley settles charges with the SEC, Merrill plans to expand impact investing capabilities for advisors and the Valentine's Day index is released.