SEC Chief Clayton Issues Warning on Cryptocurrencies, ICOs
“If you choose to invest in these products, please ask questions and demand clear answers,” Clayton said on the day Bitcoin futures debuted.
Tax Bill Could Have Big Impact on Small-Biz Retirement Plans
More than 320,000 pass-through businesses offer retirement plans, which the bill provides a disincentive to do, says ARA's Brian Graff.
Andy Friedman Answers Top 7 Advisor Tax Bill Questions
Friedman, a former tax attorney, answers questions on alimony, deferred compensation and more.
FINRA Seeks to Revamp Expungement Process
FINRA said that it's discussing with NASAA "more extensive changes" to the process.
Aguilar, TD’s Schweiss Discuss How an SEC Fiduciary Rule Could Work
The two industry insiders talked to ThinkAdvisor about how a rule could move forward but said proposing one next year would be "tricky."
FINRA Releases First Exam Findings Report
Here are the top four problem areas FINRA considers worth highlighting.
Celebrity Advisor David Bach Launches ‘Business in a Box’ for Advisors
If your advisory business today has “below $25 million in assets ... you will be out of business in five years,” Bach told ThinkAdvisor.
‘Phase 2’ of DOL Rule Is Dead: Brian Hamburger
At the MarketCounsel Summit, Hamburger also said the Protocol for Broker Recruiting was "unraveling."
Perkins Coie Hires Former SEC Fintech Examiner Didiuk
Didiuk joins Perkins Coie’s Investment Management, Fintech and Blockchain teams.
Treasury’s Crime Unit Launches FinCEN Exchange
The exchange is intended to enhance information sharing with financial institutions to fight money laundering.