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The regulator's $1.1 billion in wirehouse fines is a warning to RIAs that not keeping proper records of online chats could paint a bulls eye on their backs as well.
Third-party data culling and archiving firms like Hearsay and Smarsh are scrambling for workarounds as the data spigot runs dry and new compliance challenges loom
In his muscular style as a lawyer and insider in the regulatory realm, the MarketCounsel principal pulls no punches
RIAs have to make sure they don't get 'liked' on popular websites like Facebook
Advisors may get much of what they wish for but in reality it may not be so good
TD Ameritrade has publicly made some regulatory efforts for advisors and other say they mostly do it behind the scenes
It could impose most on advisors spread out across multiple states
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