FINRA Answers Questions on BDs' Electronic Communications
By Melanie WaddellFor example: What should brokers know about disclosures in marketing materials?
September 23, 2019
North Carolina Life Company Executive Says Court Should Dismiss Bribery IndictmentGreg Lindberg says he simply tried to get a new examiner, not to secure a particular outcome.
September 23, 2019
Congress May Overturn 1998 Holocaust Insurance Claims AgreementSurvivors and heirs are seeking permission to take insurers to court.
September 20, 2019
Be Careful With Chile's Annuity Market: EconomistsAbout 60% of eligible retirees in Chile now buy private annuities.
September 20, 2019
Treasury Loosens Rules on 401(k) Hardship WithdrawalsThe new rules on withdrawals of elective distributions also apply to 403(b) plans.
September 20, 2019
SEC Commissioner: Time to Reassess BD Best Execution ObligationsThe commission should "consider whether minor adjustments or more significant changes are appropriate" for the Order Protection Rule, he said at a SIFMA event.
September 20, 2019
House Passes Bill to End Forced ArbitrationConsumer groups cheered the passage of the Forced Arbitration Injustice Repeal Act.
September 20, 2019
Passive Overtakes Active in US Stock-Fund Assets: MorningstarAssets of U.S. equity index funds surpassed those of their actively managed counterparts for the first time.