SEC's Reg BI Doesn't 'Raise the Bar' Over FINRA's Suitability Rule: Consumer Groups
By Melanie WaddellConsumer advocacy groups tell SEC's Jay Clayton what's lacking with the agency's rule.
April 25, 2019
A Cybersecurity Firm's Propaganda May Hide Red FlagsThere are red flags even when dealing with cybersecurity firms. Here's what to watch for.
April 25, 2019
Here's How FINRA Spent Its 2018 Fine MoneyThe BD self-regulator shares for the second year projects supported by sanctions.
April 25, 2019
Janney, RBC Wealth Add Reps From Rivals: Recruiting RoundupPlus, Securities America and CUSO Financial recruit groups with $200 million and $603 million, respectively.
April 24, 2019
The Truth About Scaling Your BusinessHere's how to avoid "over servicing" clients and over spending on technology, while increasing revenues and raising profits.
April 24, 2019
FINRA Launches New Fintech OfficeFINRA's Cook said that innovation poses new challenges for their members, and "it is essential that we as regulators keep pace."
April 24, 2019
Fidelity Expands Its Digital Store for AdvisorsThe Wealthscape Integration Xchange now includes tools from Addepar and Wealthbox.
April 24, 2019
Celebrity Advisor David Bach: Get Millennials Now or Lose Business LaterBach, the writer of "The Latte Factor," urges advisors to get in front of their millennial clients "in the next five years," or lose them.