January 21, 2022
8 Top FINRA Priorities for 2022"A lot of exciting initiatives" are afoot at FINRA, says its CEO, Robert Cook.
January 06, 2022
Expect Reg BI Enforcement Actions, DOL Rollover Crackdown in 2022Susan Schroeder, Phyllis Borzi and others discuss big developments afoot at the SEC and Labor Department.
November 23, 2021
2021 News of the YearWe review the major developments affecting financial advisors — from Wall Street to Washington — over the past 12 months.
November 11, 2021
With Reg BI, 'Think Broadly' About Recommendations: SEC's LeeThe commissioner warned BDs to consider how Reg BI could affect their communications, tech use and even account opening practices.
November 05, 2021
Reg BI Report Zooms in on BDs' Lack of ComplianceA NASAA report finds 65% of firms aren't discussing lower-cost or lower-risk products with clients when recommending these product types.
November 03, 2021
PIABA to Push SEC to Revise Form CRS, New President SaysFirms should be required to disclose information on mandatory arbitration clauses and their ability to pay claims, Michael Edmiston says.
October 13, 2021
SEC Investor Advocate: Does Gamification Mean Game Over for Reg BI?For Reg BI to remain relevant, the SEC must make clear when digital "nudges" to trade are recommendations, Rick Fleming says.
October 12, 2021
Reg BI to Be Folded Into Regular SEC ExamsThe "good news is there's not going to be a Phase 3" of Reg BI exams, said the SEC's John Polise.
October 06, 2021
SEC Is Stretched Thin, Gensler TestifiesExam division staff has remained relatively flat despite recent growth of more than 20% in the number of RIAs, Gensler said.
October 05, 2021
GOP Lawmaker Questions SEC Chief on Commitment to Reg BIGary Gensler says he fully supports the rule even after appointing staffers like Barbara Roper who oppose it.