Irwin Stein

SEC launches elite unit with unspoken promise of technological parity with Wall Street

David Chase: Enforcement cases will nonetheless be prepared the old-fashioned way by taking testimony and collecting documents.

Mary Jo White

Peter B. Driscoll

Mark Wyatt

David Chase

<p>The past two years have been some of the most momentous in the relatively short history of the RIA profession. Legislators and regulators have been gradually embracing the fiduciary standard, though whether it will fully apply to everyone calling themselves advisors remains to be seen.</p>

<p>The Department of Labor’s crusade to lower costs and increase transparency in retirement plans means a spate of new regulations affecting advisors and brokers in that market. Dodd-Frank Financial Reform, meanwhile, continues to unroll across the profession, with the biggest change being a shift to state oversight of RIAs with less than $100 million AUM. In this section, you’ll find continually updated RIABiz.com coverage on all these topics.</p>

RIA Compliance

Classic RIAs should expect little change but the SEC's ability to algorithmically raise more red flags may give it better ways to go after big dogs

SEC launches elite unit with unspoken promise of technological parity with Wall Street

Related Moves

November 18, 2022 at 2:56 AM

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