The SEC has officially updated the rules to shorten the standard settlement cycle for most securities transactions from two business days after the trade (T+2) to one business day after the trade (T+1). Broker-dealers must comply with this Learn more
The SEC’s New Marketing Rule for Investment Advisers modernizes requirements for adviser advertis... Learn more
Effective March 15, a new SEC regulation will change certain registration exemptions to increase ... Learn more
New SEC Regulation Best Interest (Reg BI) raises the bar for broker-dealer conduct when making re... Learn more
A new retirement savings law, the Setting Every Community Up for Retirement Enhancement Act (the ... Learn more
FINRA rules for protection against financial exploitation for seniors and other specified adults ... Learn more
On November 27, the Department of Labor announced an implementation extension for certain controv... Learn more