FINRA Launches Cyber Portal
By Melanie WaddellThe platform "will collect, analyze and disseminate threat intelligence" to help broker-dealers respond to attacks, the regulator says.
March 31, 2026
FINRA Ousts Ex-Raymond James Broker Fired Over Handling of Wife's IRAWilliam Steven Cooke's wife alleged he made unauthorized trades and signed her name to move cash.
March 31, 2026
Retirement Savers' Data Privacy Is at Risk, GAO WarnsThe watchdog is calling on the DOL to guide asset managers and record keepers on acceptable data use.
March 30, 2026
DOL Proposes Adding Variable Annuities to 401(k) Plan Default Option ListA fiduciary would have to show that the benefits from reducing plan participant liquidity justified the impact.
March 30, 2026
Senator Seeks Answers on SEC Enforcement Head's Sudden ResignationSen. Blumenthal asks whether her exit was related to crypto cases, including one touching on the Trump family's ventures.
March 30, 2026
Jeremy Siegel Sees Short-Term Stock SlumpBut he doesn't expect a bear market, even if the Strait of Hormuz remains closed for three months.
March 30, 2026
AI Assistant for Financial Advisors Moves Into Life InsuranceZocks can help with client intake forms, and with assessing producers.
March 30, 2026
Carson Group Rolls Out New AI Tool for AdvisorsClient Intelligence gives advisors instant visibility into what is happening within a client household, the firm says.