FINRA Issues New Warning on Reg BI, Form CRS Compliance
By Melanie WaddellThe just-released 2025 FINRA Annual Regulatory Oversight report covers areas the regulator will be watching this year.
January 28, 2025
Nesvold Names Mark Tibergien to Advisory BoardThe retired Pershing Advisor Solutions CEO is the first to be tapped to advise Peter Nesvold's merchant bank.
January 28, 2025
Black Swan’s Taleb Says Nvidia Rout Is Hint of What’s ComingFuture pullbacks could be two- or even three-times bigger than the firm's 17% slump on Monday, he says.
January 28, 2025
Mariner CEO Personally Called Planner, Edelman Says in Poaching SuitMariner requested Edelman's non-solicitation agreement and advised the planner on how to defend against a lawsuit, Edelman contends.
January 28, 2025
Bessent Wins Senate Confirmation to Be Treasury SecretaryThe former hedge fund manager won confirmation by a vote of 68 to 29 Monday.
January 28, 2025
FINRA Beefs Up Its RILA AdviceRegulators want representatives to think about a client's age when recommending transactions.
January 28, 2025
18 Job Interview Tips for Financial AdvisorsIf you're early in your career or starting a new one, here's what hiring managers want to hear.
January 28, 2025
Expecting a Social Security Fairness Act Benefit Boost? Watch Out for Tax Traps.Bigger Social Security checks are an exciting prospect, but they could kick people into higher income brackets.