Social Media Hot Topics

There have been a lot of discussions lately regarding the regulatory landscape in the financial services sector. I know everyone has Dodd-Frank on the mind these days; however another significant... [...]

The 2011 Renewal Program begins on November 15, 2010 when FINRA releases the Preliminary Renewal Statements on Web CRD/IARD. Firms should note the following key dates for the renewal process:... [...]

The Department of Labor is working to reduce the fees and costs in 401(k) plans and make these fees totally transparent. The DOL has broadened the definition of fiduciary, which means... [...]

The Securities and Exchange Commission requires registered investment advisers to file certain disclosure forms. Advisers are now being required to explain the training requirements for any professional designation included in... [...]

It seems it never fails; scam artists appear to go where the money is. The latest news affects BP payout recipients. Be wary of oil spill-related investment opportunities that promise high... [...]

FINRA had a big month in September. Over 50 firms and individuals either sanctioned or barred. FINRA is working hard to show they are doing thier job and finding the... [...]