Emojis Could Prompt a Customer Complaint, FINRA Exec Warns
By Melanie WaddellWhile FINRA isn't planning emoji-related enforcement, its exam chief urges BDs to consider "novel issues" in texting.
June 20, 2023
Clients Tilt Toward Pre-Need Plans for End-of-Life ProtectionSales of final expense life insurance fell.
June 19, 2023
Biden 2024 Kickoff Focuses on Economy, Wealthy"It's time for millionaires and billionaires and big corporations to pay their fair share," he said Saturday to a crowd of union workers in Philadelphia.
June 19, 2023
Wall Street Rally Wipes Away Year of Losses"So long as U.S. recession keeps being pushed back, we think equities can continue to grind higher," said Barclay's Emmanuel Cau.
June 16, 2023
SageView Picks Up Founders of $5B Retirement GroupRetirement Benefits Group co-founders Tony Franchimone and Larry Deatherage are becoming SageView managing directors.
June 16, 2023
FINRA Exams Are Changing, Execs SayFINRA is conducting more on-site exams, but examiners will spend less time on-site.
June 16, 2023
Schwab Robo-Advisor Hidden Fees Case Moves to Federal CourtThe lawsuit cites an SEC order last year requiring Schwab to pay nearly $187 million for misleading statements.
June 16, 2023
Avoid These Big 'Retirement' Mistakes Business-Owner Clients MakeClients selling a closely held business can get caught by unexpected tax bills and lifestyle changes.