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.
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...
The New York Attorney General’s office today charged Bank of America CEO Ken Lewis with fraud for failing to disclose material details about Merrill Lynch in its merger with the brokerage. The move takes the case one step further than the...
Will the regulatory push for a uniform fiduciary standard die on the vine? Brokers may not be best equipped to predict regulatory outcomes, but most of them do not expect such a standard to be implemented, according to survey results released...
How will new financial regulations wending their way through Congress affect individual retail financial advisors and broker/dealers, independent or otherwise?
