NASAA to Allow 5-Year Breaks for Brokers, IARs
By Melanie WaddellEligible individuals can maintain their Series 63 license; a similar extension is planned for the Series 65.
August 29, 2023
Citigroup Unit Pays $2.9M to Settle SEC ProbeFor a decade, the bank's broker had flawed processes in its accounting tied to the underwriting of securities offerings.
August 29, 2023
Medicare Lists First 10 Drug Price Negotiation TargetsHow all clients' prescription benefits work could get more complicated.
August 29, 2023
Why the Bitcoin ETF Ruling Is a Big WinBitcoin ETFs could account for up to 10% of the cryptocurrency's market value in three years, says Sanford C. Bernstein.
August 29, 2023
Raymond James Adds $2.6B Securian TeamNorthern California-based Summit Financial Group is joining Raymond James' independent channel.
August 29, 2023
Court Paves Way for First Bitcoin ETFA three-judge appeals panel in Washington overturned a previous decision by the SEC blocking the Grayscale ETF.
August 29, 2023
TD Ameritrade Hit With Class-Action Suit Over MOVEit HackThe suit was filed with less than a week to go before all TD client accounts move onto the Charles Schwab platform.
August 28, 2023
Here's What Beats the 4% Rule: Jamie HopkinsRetirees simply don't spend in a constant manner — far from it, says the Carson Group managing partner.