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) 

 

Compliance Review

Compliance commentary from some of the industry's leading consulting firms and attorneys.
What has changed: New considerations for serving aging clients (2/18) 
Regulatory expectations and compliance considerations for the use of cloud services (12/17) 
Personal trading: Key concepts for compliance professionals (08/17) 
Custody: New SEC guidance creates more clarity for advisors (5/17) 
Supplemental tool for custody Compliance Review: Standing money movement authority and custody implications for advisors (5/17) 
Form ADV and big data: Changes on the horizon (12/16) 
The new DOL Fiduciary Rule: What it means for RIAs (8/16) 
Considerations for serving aging clients (7/16) 
Conflicts of interest in trading: Minimizing your firm's risk (3/16) 
Cybersecurity for compliance professionals (12/15) 
Current SEC compliance and enforcement issues (11/15) 
Compliance considerations for social media (5/15)

 

RIA Industry M&A Research

As the industry matures, M&A activity could be of interest to your firm. See Schwab's research.
Data charts (2/17)
Data charts (9/16) 
Article: RIA industry deals at record levels: a look behind the numbers (4/16)

 

RIA M&A Listing Service

Connect with firms interested in acquiring, selling or merging with another firm.  
Schwab's M&A Listing Service 

 

Independent Advisor Outlook Study

Our semiannual study captures advisor opinions related to industry trends, opportunities, and strategies for growth.
Study findings (6/17)
Study findings (10/16)
Study findings (6/16)

Take Action
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.