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.
At FINRA’s annual conference on Monday, FINRA Member Relations Chip Jones sat down with several compliance and risk officers at major broker/dealers, talking about some of the top concerns they have regarding the current regulatory landscape...
SEC commissioner Michael Piwowar called out Michael Lewis’ controversial book on high frequency trading Wednesday, saying that while Flash Boys has sparked thoughtful discussion, it’s misleading and factually inaccurate. ...
Over the last few months the FINRA recruitment/broker disclosure discussion, and documents, have come into closer focus. It seems to me that the larger member firms are a bit too close to the process.
After months of legal wrangling, the CFP Board has released 300,000 pages of documents to investment advisors Jeffrey and Kimberly Camarda, who filed a lawsuit against the Board about a year ago. The Camardas first requested the documents in...
Chair Mary Jo White called the fiduciary standard an “extraordinarily high priority” for the Securities and Exchange Commission, saying it’s her goal to see a decision on whether to impose a uniform standard this year...
