Tag: Broker/Dealer

What to Expect From a Biden Appointee-Led SEC

A former Securities and Exchange Commission litigator who was at the regulator during the transition from the Clinton administration to the Bush administration considers what might happen when Democratic President-elect Joe Biden takes office.

Former SEC Enforcer Reviews Regulator’s 2019 Agenda

During a webcast hosted by ACA Compliance Group, Allison Charley, a former SEC examinations office leader, explained the regulator’s internal process for picking audit targets; other speakers noted the SEC’s increased focus on suitability issues and cybersecurity.

State-Based Fiduciary Regulations Take Shape in 2019

Regulators and legislators in a growing number of states say they are acting to fill a perceived void created by federal government disengagement; just last week, a long-awaited Nevada proposal was made public.

RBG and Triad Discuss Recently Confirmed Affiliation

Triad and Resources Investment Advisors say the recruitment of Retirement Benefits Group reflects the way retirement-focused advisers are seeking integrated practice management solutions and hands-on support from brokerage and custody service providers.