Regulation & Compliance

About two-thirds of registered voters indicate they’d more likely vote for a candidate who supports regulating Wall Street and big banks.

Research found that the regulation’s Customer Relationship Summary actually increased investor confusion over the differences between brokers and investment advisors.

Secretary of State William F. Galvin announced an investigatory sweep of 63 broker/dealer firms.

A Michigan-based crypto firm wasn’t listed as a broker/dealer, in violation of securities regulations, said the SEC.

To act in the best interest of your clients you need to have a clear understanding of their overall financial picture and their financial behavior.

Although the fiduciary rule is dead, its spirit and intent will live on.

SEC Chairman Jay Clayton is holding roundtable discussions regarding the agency’s best interest proposal.