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 commission accused Julie Anne Darrah of a multi-year scheme targeting elderly female advisory clients spanning from before and after her firm joined Wealth Enhancement Group.
Proposed changes to the Uniform Business Practices Rule conflict with Reg BI, will increase costs and decrease choice for investors and financial advisors, writes Cetera’s director of regulatory affairs.
In the suit filed in Florida federal court, Joena Bartolini Mitchell says she was fired in retaliation for filing claims of sexual harassment and discrimination.
The Labor Department's latest attempt at amending its fiduciary definition is currently under consideration by the White House’s Budget Department and is expected to be released for comment soon.
That’s when a DC court will issue a mandate that could make effective an August opinion that went in favor of Grayscale Investments, which had sued the SEC as it looked to convert its Bitcoin trust into an ETF.
