Schwab's Office of Legislative and Regulatory Affairs helps you stay on top of the latest regulatory proposals and actions that could affect your firm and your clients.
RIA Washington Watch
This ongoing series features the observations, insights, and analysis of Michael Townsend, vice president of legislative and regulatory affairs for Charles Schwab & Co., regarding issues and topics that affect RIAs, their clients, and the industry. Read the latest:
SEC Custody Rule
In 2017, the SEC issued guidance about situations in which certain authority to move money on behalf of clients may constitute custody. We have several resources to help you understand the new guidance and determine if you want to retain or remove authority.
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