A federal judge also granted an SEC injunction against David Hu, former CIO of International Investment Group, whose schemes lost $100 million in investors' funds, according to the DOJ.

We tend to only listen to what’s of interest to us.

Despite a possible delay coming from the Biden administration, RIAs should consider updating their procedures to comply with some, but not all, of the new requirements.

The Investments & Wealth Institute is readying the launch of a financial professional community open to both IWI and non-IWI members.

Before rolling over 401(k)s, analyze any holdings in employer stock.