Industry watch

Industry watch

Strengthen and protect your business

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Legislative and regulatory affairs

Schwab's Office of Legislative and Regulatory Affairs is dedicated to helping you understand government proposals and advocacy initiatives that help to protect your clients and business.   
 
Regulatory Update webcast replays
Semiannual Regulatory Update webcasts feature Schwab's legal and legislative and regulatory affairs subject matter experts. Understand key topics to help your firm navigate the regulatory landscape.

Access the on-demand replays by logging in to the Events & Education page on Schwab Advisor Center®. Scroll down to the Compliance and Legal section:
Spring Regulatory Update (3/17)  
Fall Regulatory Update (11/16) 

RIA Washington Watch
Quarterly update from Schwab's D.C. insider, Michael Townsend. Find observations and analysis regarding issues and topics that affect you, your clients, and the RIA industry.
Trump's next 100 days—deregulation and tax reform? (5/17)
DOL begins process to delay fiduciary rule, but timing still uncertain (3/17)
5 themes to watch as the Trump era unfolds (2/17) 

Advocacy in action
Learn more about actions taken by Schwab to protect RIA interests and influence responsible government policies.
Custody Rule: SEC releases 'no-action' letter (3/17)
Schwab comment letter: Re: FINRA rule on discretionary account requirements (8/15)
Schwab comment letter: Re: DOL proposed redefinition of "fiduciary" (7/15)
Schwab comment letter: Re: SEC proposed changes to Form ADV (7/15)
Infographic: SEC harmonization survey results highlights (7/13) 
White paper: Understanding SEC-proposed rule harmonization and potential burdens for RIAs (7/13) 
Schwab comment letter: Re: Request for data concerning SEC proposed rule harmonization (7/13) 

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This website provides information, analysis, and guidance for independent financial advisors who custody with Schwab. Talk with your Relationship Manager about how our insights, programs, and consulting services can help you and your firm chart future success.