The Practice: Regulatory/legal issues
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June 6, 2017Finra Urges Swift Compliance Action From Small BDsFirms should be proactive fixing issues brought to their attention.No Comments
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June 6, 2017Supreme Court Deals Blow to SEC Enforcement PowersJustices rule disgorgements fall under five-year statue of limitations.No Comments
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June 5, 2017Cost of “Conflicted” Advice Varies by StateEach week of delaying the DOL’s fiduciary rule costs retirement savers $431 million, survey claims.No Comments
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June 5, 2017Finra Reveals Simple Way to Avoid Exam ConflictsA district director says having an adversarial exam process is farthest from what Finra wants.No Comments
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June 5, 2017LPL Revamps Product Pricing Ahead of DOL RuleFirm is restricting the types of mutual funds sold in brokerage accounts.No Comments
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June 2, 2017UBS Revamps FA Pay Ahead of DOL RuleAdvisor compensation on retirement accounts will be based solely on assets under management.Last Comment: June 2, 2017
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June 2, 2017SEC is Rethinking its Own Fiduciary RuleCommission is seeking public comment on the standards applied to advisors.No Comments
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June 1, 2017Ten Years In, a Finra Internal Review is a MustA new CEO can look at it with fresh eyes, says watchdog's new chief.No Comments
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June 1, 2017Wells Fargo Reinstates Suspended ExecsThree execs cleared of allegations of improperly steering client business.No Comments
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May 31, 2017Fund Shares Without Distribution Fees Are on the RiseFiduciary rule is causing mutual fund providers to roll out more so-called “clean shares.”Last Comment: May 31, 2017
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