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.
In recent years, as the economy has faltered and banks have failed, merged and re-emerged, the fiduciary business with its annuity revenue stream seems more attractive than ever. But is it, really? The fact is that the fiduciary business can be a...
Some lawyers and executives anticipate an overhaul to the broker protocol agreement, which has gotten unruly with the growing number of signatory firms, the rising number of exceptions attached to the agreement and the ...
LinkedIn has some cool data analysis on Wall Street job trends. Many of the refugees from the collapse of late 2008 ended up at Barclay’s, which grabbed 10 percent of laid off talent, according to a blog entry on LinkedIn. Other big...
This week the Financial Industry Regulatory Authority announced it is seeking the SEC’s approval to expand the amount of information made public on current and former brokers’ permanent records in its free online CRD database...
Senator Tim Johnson (R- S.D.), incoming Senate Banking Committee Chair, began floating an amendment last week that would eliminate from Senate regulatory reform legislation the application of a fiduciary standard to investment advice provided by...