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.
Ron Rhoades’ decision to step down as chair-elect of NAPFA may have been inevitable, but industry observers view his compliance error as a relatively minor mistake.
Amid the summer doldrums, twelve industry big wigs have signed a letter calling for Congress, the SEC, and the DOL to extend the fiduciary standard to those who give investment advice. But will their effort pay off?
Republican presidential candidate Mitt Romney has been outspoken about his dislike for Dodd-Frank reform, stating blatantly on his website that he’ll repeal Dodd-Frank and replace it with a “streamlined, modern regulatory framework” (whatever ...
