-
Although they praise certain changes in a rule up for SEC approval, client attorneys and researchers say the process has further flaws.
May 24 -
The uncertainty could lead to market volatility, delayed stimulus negotiations and complicate planning for a potentially new regulatory environment.
November 4 -
The change is one of several made to the board’s disciplinary reporting process following a report by an independent task force that found “systemic, long-standing, governance-level weaknesses.”
May 29 -
FSI aims for a pragmatic approach when advocating on behalf of more than 90 independent broker-dealers and 30,000 financial advisors, Deputy General Counsel Robin Traxler says in an episode of the Financial Planning podcast.
April 7 -
Only a firm “actively swindling funds” would trigger an onsite visit, according to Peter Driscoll.
March 25 -
The policy change may prompt more defendants to reach settlements, an attorney says.
March 25 -
Some attorneys say it's welcome relief, but how long will it take to get new hearing dates?
March 17 -
The IBD advocacy group expects no letup in enforcement by the regulator — with wide ramifications across wealth management hanging in the balance.
January 28 -
Even though many of its members weren’t satisfied by the SEC’s rule, NASAA praises the inclusion of a requirement to consider costs in a recommendation.
September 9 -
The IBD trade group launched a public campaign after more than 80 cases this year alleging inadequate disclosure of mutual fund fees and compensation.
September 5