Advisors can get help determining if their practice adheres to a best-interest standard by using a self-assessment tool developed by the Institute... Read More

Massachusetts is questioning whether automated robo-advisors will be able to “carry out the fiduciary obligations of a state-registered investment adviser,” according to... Read More

President Barack Obama’s budget plan released this week calls for doubling the funding for the SEC and Commodity Futures Trading Commission over... Read More

Advisors who are required to file annual updates to their ADVs can learn some lessons from mistakes that have been made by... Read More

The SEC is taking public comment on a proposed rule that would limit the use of derivatives in mutual funds and exchange-traded... Read More

Texting is a common way to communicate these days, but for financial advisors it raises a compliance alarm. Like other forms of... Read More

Finra will soon be publishing information on advisor terminations and investigations on BrokerCheck more quickly. The SEC recently approved Finra’s plan to... Read More

The SEC has adopted new rules that will allow smaller investors to get in on crowdfunding (with limits), but advisors will need... Read More

Firms that outsource their chief compliance officer function need to be aware of the shortcomings it can cause, the SEC warned this... Read More