FINRA Issues New Warning on Reg BI, Form CRS Compliance
By Melanie WaddellThe just-released 2025 FINRA Annual Regulatory Oversight report covers areas the regulator will be watching this year.
January 28, 2025
Black Swan’s Taleb Says Nvidia Rout Is Hint of What’s ComingFuture pullbacks could be two- or even three-times bigger than the firm's 17% slump on Monday, he says.
January 28, 2025
Mariner CEO Personally Called Planner, Edelman Says in Poaching SuitMariner requested Edelman's non-solicitation agreement and advised the planner on how to defend against a lawsuit, Edelman contends.
January 28, 2025
Bessent Wins Senate Confirmation to Be Treasury SecretaryThe former hedge fund manager won confirmation by a vote of 68 to 29 Monday.
January 28, 2025
FINRA Beefs Up Its RILA AdviceRegulators want representatives to think about a client's age when recommending transactions.
January 27, 2025
LPL Recruits $1.3B Father-Son Duo From UBSWilliam “Bill” Bruen Jr. and Andrew Bruen have joined the independent broker-dealer in New Jersey.
January 27, 2025
Stocks Hit as Chipmakers See Worst Rout Since 2020Nvidia sank 17% and headed toward the biggest market-cap loss for a single stock in market history.
January 27, 2025
Capital Group Expands Small-Business Retirement Plan ServicesThe solution helps financial advisors reach small-business owners and increases retirement account access for their employees.