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.
As the Financial Planning Association attempts to boost flagging membership and roll out a more ambitious service program, its leadership says a restructuring of the national organization is not out of the question in the years ahead.
The ...
Securities and Exchange Commission Chairman Mary Schapiro was in the hot seat Thursday during a U.S. Senate Committee on Banking, Housing, and Urban Affairs hearing to discuss the controversial proposed money market fund reform. Schapiro conti...
The JOBS Act was signed into law on April 5, 2012. While the overarching goal was to provide a new source of lending in these tight credit markets and stimulate the economy to create jobs, the act has other significant consequences which...
