Books and Records Infractions Still Big Problem for State-Registered Advisors
Other top problem areas for state-registered advisors: contracts, registration, fees and custody.
AIG Advisor Group Is ‘Island of Stability’ in BD Space: Exec
A number of broker-dealers are hitting potholes, but “this is our best recruiting year in seven years,” said SagePoint CEO Jeff Auld.
House Panel Sets Wednesday Markup on Bill to Halt DOL Fiduciary Rule
The Retail lnvestor Protection Act would force the DOL to wait for an SEC fiduciary rule.
CFP Board, FPA Advocates Agree on Likely Timetable for DOL Fiduciary Rule
Marilyn Mohrman-Gillis, Karen Nystrom think it likely DOL rule will be out this year, but SEC fiduciary rulemaking prospects still cloudy.
No Rules Yet, but Prepare Now
Regulatory issues that aren't getting the attention they need, argues MarketCounsel CEO Brian Hamburger.
What Is — or Isn't — Crowdfunding, Anyway?
Are all three of the provisions that were ushered in under the JOBS Act to ease restrictions on capital raising actually crowdfunding?
Treasury Considers Anti-Money Laundering Regs
Anti-money laundering requirements — are they coming soon to an advisory firm near you? Maybe, and perhaps as soon as some time in 2016.
Crowdfunding Will Help Build the New York Wheel
As investors and advisors await final equity crowdfunding rules from the SEC, capital raising options from other JOBS Act-related offerings are gaining steam.
Known (and Unknowable) Unknowns For Compliant Advisors
The SEC, FINRA, DOL — regulations and oversight come from all sides, and anticipating what's compliant today but won't be tomorrow is a tricky game.
House GOP Makes Last-Ditch Effort to Stall DOL Fiduciary Rule
Rep. Jeb Hensarling said he would advance Rep. Ann Wagner's Retail Investor Protection Act to “stop” the Department of Labor's “misguided” fiduciary rule.