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 Department of Labor's "best interest" rule should be maintained, only without the enforcement provision of class-action lawsuits, says the U.S. Justice Department.
Robert Cirrotti, Pershing’s managing director of investment and retirement solutions, on how firms are navigating the fiduciary rule now that it’s in place—and where the rule could go from here.
