Regulation & Compliance

Carson Group gives its in-house wealth advisors five years to obtain or maintain a CFP or an equivalent professional credential.

The Consumer Federation of America, AFL-CIO, Financial Planning Association and others wrote a letter to the Labor Department calling for a 90-day comment period for its revised fiduciary rule, instead of the current 30-day period, arguing that...

Investors are right to be concerned by Mark Zuckerberg’s strongman governance of the company.

The recipients of loans included Aspiriant and Riskalyze, who were two of the more than 660,000 businesses that received loans of $150,000 or greater, according to Treasury Department data.

The SEC charged Temenos Advisory and its CEO in July 2018 for putting $19 million of elderly clients’ retirement savings into four risky, illiquid private placements, without conducting the proper due diligence or disclosing the risks.

One law firm filed three dozen FINRA arbitration claims this week against 12 brokerages.

Despite a legal challenge and other controversies, implementation for the SEC’s long-awaited Regulation Best Interest is here, and the agency is set to begin examinations and enforcement.