California
Get the latest news and insights on California's financial regulations, enforcement actions and litigation.
Federal Regulation
DOL Withdrawal of Independent Contractor Rule Threatens Indie Advisor Business Model: FSI
By Jeff BermanDOL's decision to withdraw the rule stands to increase costs for advisors and their firms, FSI's David Bellaire tells ThinkAdvisor.
November 19, 2020
Kamala Harris' Former Policy Chief Gives Peek Into New White House PrioritiesDaniel Suvor, who worked with Harris in California, discusses what he expects to see on the next White House's to-do list.
April 07, 2020
How California's Privacy Act Impacts AdvisorsAdvisors doing business in the Golden State should review the many tasks needed to protect client information this year and next.