Regulatory Groups Gear Up Remote Exam Requirements
By Melanie WaddellFINRA reduces mediation fees and enhances action against new wave of scams.
May 26, 2020
Advisors Confused by SBA's New PPP Loan Forgiveness RuleOne head-scratcher: The rule doesn't jibe with the instructions in the loan forgiveness application, says Leon LaBrecque.
May 26, 2020
How to Shift Your Marketing Now: Tips From Billion-Dollar RIAsHightower's Abby Salameh, Carson's Jud Mackrill and others offered advice for marketing beyond the "crisis" phase of the pandemic.
May 26, 2020
FINRA Suspends Ex-Morgan Stanley Rep Who Botched Account TransferThe broker transferred $1 million without proper authorization, FINRA said.
May 26, 2020
FINRA's New Arb Award Rules Merely 'Nibbling' at Bigger Problem: PIABAThe amended rules prevent brokers with unpaid arbitration awards from switching firms, but there's a bigger issue, lawyers say.
May 26, 2020
CFP Board Votes to Permanently Allow Video Disciplinary HearingsThe CFP Board also said it plans to release a new set of procedural rules soon.
May 26, 2020
Social Security COLA for 2021 Could Be Zero: ReportThis comes after a 2020 increase that was "low to begin with," says an analyst with the Senior Citizens League.
May 26, 2020
Rebalancing Client Portfolios After a Correction: A Leap of Counterintuitive FaithYou don't have to time it perfectly to benefit from this enduring risk management tactic.