In the meantime, the organization is checking backgrounds of CFPs one-by-one as they renew their credentials.
Republicans objected, saying it was a move by Democrats to delay Reg BI
The sector risks being left behind as client demands change.
In the meantime, the organization is checking backgrounds of CFPs one-by-one as they renew their credentials.
Republicans objected, saying it was a move by Democrats to delay Reg BI
Regulator's reviews also reveal lack of branch office supervision.
PIABA report charges systematic abuse of the procedure for clearing brokers' disciplinary records.
Measure, catalyzed by Form CRS, likely to advance on party-line vote.
Measure, catalyzed by Form CRS, likely to advance on party-line vote.
Robert Cook discusses the challenges facing the broker regulator, ranging from retooling its exam program for Reg BI to supporting small firms and increasing its transparency.
