The new proposed financial services regulatory reform bill released last week by Sen. Chris Dodd (D-Conn.) runs 1,336 pages. But it's the nine pages that ...
You can have a hand in how the federal government regulates ERISA, annuities and other retirement options. The Department of Labor, Treasury and the IRS ...
You're either part of a firm that uses social media or you're not. While about half of advisers spend no time on social media, the ...
Even though RIAs don't technically have to have an anti-money laundering program, they can expect their business partners to ask more questions following an SEC ...
With a June deadline staring everybody in the face, the Treasury Department is proposing backing away from requirements that certain funds and advisers accepting off-shore ...
It was about a year ago that the SEC began requiring all Form D filings to be done electronically, effectively tossing the old paper document ...
The frequently asked questions the SEC put out last week go a long way toward instilling confidence among firms concerned about complying with the revised ...
Among the hot topics FINRA will be scrutinizing this year during exams of firms include short sales and Reg SHO compliance, the supervision of branch ...
How's this for a sign that everything isn't hunky-dory: when SEC examiners showed up at an RIA, the CCO announced the firm had just deregistered?Last ...
Most of your peers spend the bulk of their time monitoring for exceptions to compliance, believe their program makes their firms more competitive and their ...