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Regulation & Compliance

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.

Presidential Election will Determine Future of Dodd-Frank
Presidential Election will Determine Future of Dodd-Frank
Oct 24, 2012
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.
Data Overload
Data Overload
Aug 30, 2012
The amount of data that financial firms are required to keep is piling up. Storing it is easy. But finding what you need gets harder and harder.
Be Still, Grasshopper
Be Still, Grasshopper
Aug 28, 2012
Feeling under the gun? Here’s how one advisor network helped its members to learn how to breathe again.
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