FINRA Says Video Conferences Now a Permanent Hearing Option
By Melanie WaddellVideo conference hearings will be allowed for disciplinary and enforcement hearings under certain conditions.
August 16, 2023
Fidelity System Outage Irks InvestorsThe firm fixed what it called a "temporary issue" after investors complained they couldn't access their trading accounts.
August 16, 2023
Maine and Colorado Join Forces on Automatic Retirement SavingsColorado SecureSavings and the Maine Retirement Investment Trust have established a first-of-its-kind partnership, officials say.
August 16, 2023
FINRA Adopts Stricter Expungement RulesRequests for "straight-in" expungements will now have to be heard by a special roster of arbitrators.
August 16, 2023
IRS Cuts Wait Times, Makes New HiresThe IRS says it has reached several milestones with funds from the year-old Inflation Reduction Act.
August 15, 2023
BNY Mellon's Wealth Unit Names Next CIOSinead Colton Grant will succeed current Chief Investment Officer Leo Grohowski, who is retiring at year-end.
August 15, 2023
New York Life Joins MOVEit Breach Notice ListOverall, the breach may have exposed the data of more than 41 million people and 677 organizations worldwide.
August 15, 2023
Life Settlement Firms Wrestle for Your Clients' PoliciesOne has added a policy owner self-service site. Another is highlighting advisor compensation.