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.
Democratic Sen. Sherrod Brown, joined by Dept. of Labor Sec. Thomas Perez, said Monday he would propose a new bill to close a loophole in the tax code that allows employers to treat full-time workers as independent contractors ...
Too many advisors are still getting their records wiped clean, according to a new report from the Public Investors Arbitration Bar Association. The study found between 2012 and 2014, about 88 percent of brokers succeeded in purging past...
The finalized fiduciary rule will serve as a catalyst for innovation in the retirement advice industry, Labor Secretary Thomas Perez said on Friday. ...