Risk and Regulation

Legislative & Regulatory Affairs

Stay informed and ready to act when Washington changes rules or laws that affect your firm and your clients. Schwab experts are on your side with valuable insights.

RIA Washington Watch

Each quarter, Michael Townsend, vice president of legislative and regulatory affairs for Charles Schwab & Co., offers a closer look at what's happening in D.C. and how it impacts advisors, their clients, and the Registered Investment Advisor (RIA) industry.

Read the latest update >

The U.S. Capitol building on a sunny day

Get wise with this podcast

Get wise with this podcast

Listen to the WashingtonWise InvestorTM podcast with Michael Townsend and his expert guests as they dig into the latest policies and politics affecting the markets. This biweekly podcast offers a nonpartisan view and sheds light on what investors should know.

Listen to the podcast >

For our clients

  • Sign up for a Regulatory Update webcast

    Join Schwab experts as they unpack six months of legal and regulatory topics for RIAs.

    Sign up for the next webcast >

  • Get timely compliance insights

    Stay on top of evolving compliance requirements with commentary from some of the industry's leading consulting firms and attorneys.

    Preview our recent Compliance Reviews >

Contact

Let us be your advocate

Take the first step toward the RIA model. Connect with a Schwab Business Development Officer for a completely confidential conversation and to learn how we can help advisors like you break free.

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