Regulation and Compliance issues for Wealth Professionals can be challenging to navigate especially when the SEC is involved. Catch the latest news and analysis on compliance updates that impact financial advisors.
Meant to eliminate conflicts of interest on self-directed trading apps that use AI and predictive analytics, the rule would in fact cut off market access for many of the investors who use them, a lawyer for the tech firm argued in a recent public...
The industry pros who keep America’s $7.3 trillion exchange-traded fund market humming are warning that the settlement shift next May spells trouble for more than 500 US-listed funds that hold overseas assets
The Pacific Legal Foundation, which has a record for arguing against “government overreach” before the Supreme Court, is representing Frank Black in the latest case challenging FINRA's Constitutionality.