Regulatory / Compliance Archives

April 30 Deadline Looms for DOL Fiduciary Appeal

Apr 21, 2018

With the April 30 deadline looming for the Labor Department to appeal the 5th Circuit Court of...

Feb 12, 2018

Every year RIAs are required to update their Form ADVs with the Securities and Exchange Commission...

Feb 7, 2018

The U.S. House of Representatives passed H.R. 2255 legislation, which includes The Senior Safe...

Feb 1, 2018

In a reversal of roles, New York is urging the National Association of Insurance Commissioners to...

Jan 31, 2018

Here is a really interesting post from Michael regarding those potentially uncomfortable moments...