FINRA Takes 'First Step' to Improve Arbitrator Selection Process
By Melanie WaddellFINRA has filed a proposed rule change to provide greater transparency and consistency in arbitrator list selection.
September 15, 2022
SEC Chief Presses Senators to Fund More Reg BI ExamsIn the last completed fiscal year, the agency conducted over 3,000 exams, exceeding the previous year, Gensler testified.
September 15, 2022
UBS Backs Ethic Asset Management Platform: Tech RoundupAlso, Hearsay Systems is adding new functionality to help advisors comply with the SEC's new Marketing Rule.
September 15, 2022
Fidelity, Schwab Among Backers of New Crypto ExchangeEDX Markets will start limited trading of spot, crypto tokens in November, with an official launch set for January.
September 15, 2022
These Areas Are Most at Risk of a Housing DownturnThe Federal Reserve's aggressive tightening policy and elevated inflation are crimping the once-booming U.S. housing market.
September 15, 2022
Sanctuary Wealth Adds Another Billion-Dollar Wirehouse TeamSLK Private Wealth had advised on over $1.6 billion in client assets at Wells Fargo Advisors.
September 14, 2022
AllianceBernstein Launches Its First Active ETFsThe firm prioritized fixed income products but said there were "many" more active ETFs to come.
September 14, 2022
House Passes Medicare Preauthorization Bill by Voice VoteA key House Republican says congressional leaders must offset the bill's estimated $16.2 billion cost.