SEC Sets Vote on Cyber Rules for Advisors
By Melanie WaddellThe meeting will also address shorter settlement cycles, a discussion prompted by the meme stock frenzy.
February 03, 2022
Fidelity's Advisor Platform Gets Major Update"This looks like a pretty extensive overhaul in terms of usability and personalization," consultant Tim Welsh says.
February 03, 2022
Less Than a Quarter of CFPs Are Women (Still)The share of planners who are women has been stuck around 23% for years, the CFP Board reports.
February 02, 2022
Here's How Much RIAs Pay Their Employees: SchwabRIA firms are increasingly offering more than traditional compensation to compete for talent, according to a report from Schwab.
February 02, 2022
Humana Sees COVID-19 Reducing Hospice Patient CountsCompany executives are also talking about producer commissions and phone broker support spending.
February 02, 2022
Wells Fargo 'Manipulated' FINRA Arbitration Process: JudgeFINRA allowed one lawyer to "secretly red line" the list of arbitrators under consideration, according to a ruling.
February 02, 2022
Ex-LPL Rep Charged With Fraud, Could Get 37 Years Behind BarsThe former LPL broker is accused of raiding clients' annuities, the Justice Department says.
February 02, 2022
FINRA Sets June 1 'Evaluation Date' for High-Risk FirmsOn this date, it will start the process of determining which of the 3,400 BDs it regulates should be labeled restricted firms.