Trump forms a new fraud task force, Merrill advisor leaves for Dynasty and Schwab adds 11 more commission-free ETFs.

With the regulations being implemented for the 2019 plan year, now is the time for plan sponsors to ensure that systems are in place to capture the additional data that will be required.

Why did the SEC choose the road less traveled?

The regulator will begin conducting reviews within 15 days after a firm applies to register an individual with FINRA, something that was previously done annually.

A Georgia court ruling states that the Broker Protocol doesn't absolve brokers of the duty to give advance notice before leaving.

Vanguard expands commission-free ETFs to 1,800, William Galvin launches private placement investigation and scooter startup Spins is offering STOs backed by company revenue.

Abiding by expanded regulations will take more time, input, effort and oversight—said differently, maintaining the status quo will require more investment.

Six fiduciary groups have joined forces to try and ensure the SEC makes the difference between “advisors” and “brokers” explicit when setting standards of conduct for the industry.

Massachusetts Secretary of the Commonwealth William Galvin is seeking possible sanctions, censure and fines on MetLife

The ruling could affect about 100 cases currently at the SEC, along with a dozen that are on appeal in the federal courts.