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.
A former broker’s case against FINRA was dismissed by the United States Court of Appeals Wednesday, but the case just goes to show that bad firms can come back to bite financial advisors, even if they had nothing to do with it...
With the presidential and congressional elections just around the corner, the future of Dodd-Frank reform hangs in the balance. Despite the uncertainty, the now 4,400-page legislation was a hot topic at SIFMA’s annual meeting.