More Reg BI Actions May Be Ahead: SEC Enforcement Chief
By Melanie WaddellExams related to Reg BI have "yielded a number of referrals," Gurbir Grewal tells lawmakers.
July 07, 2022
SEC's First Reg BI Action Singles Out Individual AdvisorsUntil recently, how the commission would interpret and enforce the new rules was largely unknown.
June 30, 2022
Expect 'Deeper Dive' Reg BI Exams in 2022: FINRA ExecFirms can expect that FINRA will "be doing deeper dives with respect to the standard of care obligation."
June 27, 2022
Ron Rhoades Makes 5 Predictions for the Future of AdviceAmong them: Flat fees will gain ground, and RIAs will expand the annuity market.
June 27, 2022
5 Rules the SEC Plans to Review This YearThe SEC's annual "Reg Flex" agenda is notable for what is not on it, Ron Rhoades says.
June 16, 2022
In First Reg BI Action, SEC Hits BD Over Sales of Risky Bonds to RetireesConsumer advocate Micah Hauptman says he's glad to see the rule enforced "in a way that should send a strong message."
June 03, 2022
A Top LPL Advisor and Advocate Talks Secure Act 2.0, DOL Fiduciary RuleLPL Government Relations Council chair Judy VanArsdale, also a top-ranked advisor, says her clients appreciate her advocacy efforts.
May 17, 2022
SEC Budget Boost Would Support 5% More Advisor Examiners: GenslerThe SEC exam division also needs to step up Reg BI exams for BDs, Gensler will tell the House Appropriations Committee.