The Practice: Regulatory/legal issues
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December 12, 2018Uniform Standard for RIAs and B-Ds Still Possible, SEC Chair AdmitsBut even RIAs can get around the fiduciary standard, Jay Clayton said in front of Congressional committee.No Comments
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December 11, 2018Blanket Ban on Brokers Using Advisor/Adviser Title Isn't Justified, Some RIAs SayWhat’s important is that brokers serve the best interest of their clients.No Comments
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December 11, 2018AARP Joins Chorus of SEC Regulation Best Interest Critics, Urges RevisionsThe consumer group says proposed Form CRS remains confusing to investors despite revisions.No Comments
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December 11, 2018Three B-Ds Must Pay Over $6 Million Due to Bad Blue Sheet DataCitadel, Natixis and MUFG admitted the SEC’s findings that they submitted years-worth of deficient data.No Comments
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December 10, 2018Finra Reveals Broker-Dealer Suitability FailsRevelations may tip Finra's hand on how it will handle oversight of the SEC’s pending Regulation Best Interest.No Comments
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December 10, 2018Indie FAs Sue Former RIA Alleging Their Business Was Held for “Ransom”Advisors say they were held “hostage” when they left their old firm.No Comments
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December 10, 2018RBC Wealth Management Helps Fight Financial AbuseThe company is also sponsoring Sifma’s initiative to protect senior investors.No Comments
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December 7, 2018UBS to Tackle Critical Sunset Packages Question in CourtBankrupt advisor's trustee raises key concern for many FAs.No Comments
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December 7, 2018Get Your Hands Off Fiduciary Rules, Sifma Warns StatesMultiple state regulations governing brokers and advisors would lead to inefficiency, higher costs and potential restriction of choice, lobbyists warn.Last Comment: December 7, 2018
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December 7, 2018RIAs Slate RAND Corp’s “Flawed” Work on SEC Best Interest RegIAA says testing of proposed Form CRS was “substantially flawed.”No Comments
