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Reining in regulation by enforcement
The Financial Services Institute is asking the SEC to adopt a procedural framework to detect and prevent certain unfair enforcement practices.
FSI sues DOL over independent contractor rule
The advocacy group for independent financial advisors argues the final 2024 rule is ‘arbitrary and capricious.’
‘We’re scrambling to figure out spot-bitcoin ETFs,’ says industry exec
Many broker-dealers still have plenty of work to do regarding new product.
Advisors worry about losing independence under DOL contractor rule
'We're small business owners; we’re entrepreneurs,' advisor says. 'I don't know what that would look like if we're suddenly employees of a broker-dealer.'
