More Reg BI Actions on The Way: FINRA Enforcement Chief
By Melanie WaddellFINRA is also looking to improve communication and resolve cases faster, Bill St. Louis says.
February 05, 2024
T+1 Starts in May. Are You Ready?Under the new settlement cycle, most securities transactions will settle on the business day following their transaction date.
February 05, 2024
The Biggest Roadblock Keeping Wealthy Investors From Hiring an AdvisorDIY investors are increasingly looking for advice, but one big concern is giving many of them pause, Cerulli finds.
February 05, 2024
BofA Cuts CEO Moynihan's Pay 3% to $29M for 2023Morgan Stanley's James Gorman and Wells Fargo's Charles Scharf each received pay hikes of 17% or more last year.
February 05, 2024
SS&C Seeks $889M in Appeal of BNY Data-Misuse CaseBNY Mellon "destroyed and refused to produce relevant evidence" that would have shown how it used market data from SS&C, the appeal says.
February 05, 2024
Big Tech Stocks Face High Bar to Sustain Gains in 2024While Nvidia's revenue is expected to soar 119% from the year prior, Alphabet's is seen dropping 7%, according to Bloomberg data.
February 02, 2024
LPL Advisors Add $100B in New Assets in 2023Recruited assets for the year totaled $80 billion.
February 02, 2024
Stock Bull Run Powers Ahead as Economy RoarsEconomic optimism is outweighing bets that the Federal Reserve will refrain from cutting rates in the first quarter.