Form U5 a Top Trigger of FINRA Investigations
By Jeff BermanFINRA brings about 700-800 disciplinary actions a year after looking into more than 25,000 cases, the president of its crime detection unit says.
April 14, 2021
Coinbase Goes Public With Initial Valuation Topping $100BThe offering is a "defining moment" that paves the way for more institutional investors in crypto, an observer says.
April 14, 2021
Gensler's SEC Can Bring Regulatory Clarity to Digital AssetsThe new SEC chair recognized in his Senate confirmation hearing that Bitcoin has been deemed a commodity.
April 14, 2021
Charley Ellis: 3 Reasons Active Managers Lose OutActive investors' performance is getting worse as markets get more complex, the famed investing consultant tells ThinkAdvisor.
April 14, 2021
Wells Fargo's Profits Soar, but Not for Wealth UnitOverall, the bank's advisor headcount dropped by 1,087, or 8%, from a year ago.
April 14, 2021
Most JPMorgan, Stifel Employees to Return to OfficesIn recent letters to shareholders, the firms' CEOs stressed the importance of employees shifting away from remote work.
April 14, 2021
Senate Confirms Gary Gensler as SEC ChairSenators voted 53-45 to confirm Gensler, a former CFTC chief and MIT professor.
April 14, 2021
COVID-19 Fogs Long-Term Care Claim Forecasts: ILTCI Virtual ConferenceOne possibility is that the insureds who live through the pandemic are healthier and could live longer.