Regulation & Compliance

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.

Highlights

FINRA Postpones In-Person Hearings to End of February

Dec 03, 2020

The regulatory agency originally planned to resume arbitration and mediation proceedings at the end of January, but they can now proceed...

Delaware Latest State to Propose Best Interest Rule for Annuities

Dec 02, 2020

The proposal is based on the NAIC's model regulation intended to align with Reg BI. But if a Biden...

SEC Charges Florida Man With Defrauding Puerto Rican City

Dec 01, 2020

The SEC claims that Eugenio Garcia Jimenez Jr., an unregistered investment advisor, misappropriated $7.1 million...

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