What have you learned and what will you take forward with you into 2021?

The regulatory agency is looking to see if it should change its rules and operations to better address challenges faced during the pandemic.

The Labor Department's final rule creating an exemption for fiduciaries on certain prohibited transactions under ERISA will go into effect after the start of the new administration.

The universe of social justice investments is quickly evolving from nascency to increased interest from mainstream investors as evidenced by the recent launch of the Adasina Social Justice All Cap Global ETF (JSTC).

The new rule allows fiduciaries in retirement plans to be exempt from certain prohibited transactions provided they adhere to a number of 'impartial conduct standards.'

How to answer the five key questions your clients have on bitcoin.

Redfearn, who led the SEC’s Division of Trading and Markets, which was responsible for ensuring firms remain in compliance with Reg BI, will leave the agency by year’s end.

The change means reps will take a portion of the regulatory agency's continuing education program once a year, as opposed to every three years.