Yesterday, the Obama administration called on the Department of Labor to draft rules that, in effect, would require brokers who provide retirement advice to abide by a fiduciary standard. In a speech at an event hosted by the AARP, President Obama said that existing ERISA rules were written 40 years ago and are in need
More Posts
SEC Reports the Result of its Cybersecurity Sweep of Broker-Dealers and Investment Advisers
Heightened Scrutiny of Brokers – SEC Approves FINRA’s Proposed Background Check Rule
FINRA Issues a Packed Priorities Letter for 2015
FINRA Sanctions Member Firm for Failure to Deliver ETF Prospectuses
SEC and PCAOB Combine Their Focusses on Broker-Dealer Audits and Independence in Settlements with Fifteen Audit Firms
Heightened Supervision of Branch Offices — Tips for the Coming Year
Article Provides the State of Regulation as to Insider Trading Compliance at Broker-Dealers
The Growth Capital Summit
The Results Are In: Investors Favor Additional Regulatory Protection
Subscribe: Subscribe via RSS
Firm/Org