SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
How GIPS Can Help Advisors Boost Client Confidence
By Mark MatsonBecoming GIPS-compliant can be a lengthy and costly process, but it's worth the investment.
February 01, 2023
Be Ready for SEC's Proposed RIA Outsourcing RuleA proposed rule would impose new due diligence requirements on RIAs seeking certain third-party services.
January 30, 2023
House Passes Financial Exploitation Prevention ActThe bill, introduced by Rep. Ann Wagner, is aimed at protecting older investors.
January 30, 2023
Will 2023 Finally Deliver Fiduciary Clarity? CFPs Not Getting Hopes UpWidespread investor confusion about conflict-of-interest issues is a major challenge for advisors, Maura Mallaney says.
January 30, 2023
SEC Issues New Warning on Reg BI Compliance FailuresBDs are using outdated compliance systems, resulting in violations, the SEC exam division says.
January 27, 2023
5 New House Committee Chiefs for Advisors to WatchThese lawmakers have sway over issues like Social Security and Medicare reform and fiduciary rules.
January 27, 2023
401(k) Income Solutions Threaten IRA Rollovers"In-plan" income solutions could go mainstream sooner than you think, Raymond James' Don MacQuattie tells ThinkAdvisor.
January 26, 2023
Vestmark Adds 6 New SMA Strategies: Tech RoundupAlso, Financial Services Institute teams with Broadridge to introduce free Form CRS Video Guide for FSI members.