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We are excited to share a collection of relevant, timely, and insightful articles that can help you grow and strengthen your business. TD Ameritrade and leading industry experts will be contributing their unique perspectives on the challenges and opportunities that RIAs are facing today. Thank you for joining our community and we look forward to connecting with you!

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  • by Skip Schweiss
  • President, TD Ameritrade Trust Company
    Managing Director of Advisor Advocacy & Industry Affairs

Summertime Remains Busy Times for Regulatory Developments

August 9, 2017 – Like most folks, I usually look forward to some downtime in July and August.  Evidently, that is just not to be this summer.


In my last blog, I pointed out all the advisor regulatory developments  that made June 2017 the busiest, arguably the most newsworthy month in a long time in this arena. As I write this in early August, the pace of noteworthy regulatory development remains strong, with a number of new developments to report.

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