4 Top FINRA Exam Priorities in 2023
By Melanie WaddellA new FINRA report alerts BDs on areas where their compliance efforts might need a bit of beefing up.
January 09, 2023
So It's Time for Your Client to Tap Their 401(k). Now What?Clients are often in the dark about the options available for drawing down their retirement accounts.
January 09, 2023
Vanguard Again Tops Industry in Annual ETF InflowsVanguard provides "cheap, easy-to-understand, broad access to different markets," a Morningstar analyst said.
January 09, 2023
14 States With Income Tax Cuts in 2023Many of the cuts are aimed at retirement income, according to the Tax Foundation.
January 09, 2023
NASAA Plans 2023 Push for Bad Actors DatabaseState securities regulators want Congress to pass a bill requiring the creation of a fraudster database.
January 09, 2023
Arizona 'Advisor' Charged With 27 Counts of Mail, Wire FraudThe Personal Money Management president allegedly used $13.3 million in client funds to buy precious metals.
January 09, 2023
Got a Hiring Crunch? Maybe Your Firm's the ProblemIf you take a hard, honest look, you might find several reasons job candidates steer clear of joining your firm.
January 09, 2023
Why Clients Shouldn't Claim Social Security Early to Protect PortfoliosA new study of real historical return data finds delayed claiming produces greater wealth for most investors.