FINRA Fines CUNA Brokerage Services Over Deleted Rollover Records
By Melanie WaddellThe BD inadvertently deleted 14,000 records, violating Reg BI, FINRA says.
November 18, 2024
DOL Seeks More Data to Launch Retirement Savings Lost and Found DatabaseLabor wants to make the database live by Dec. 29.
November 18, 2024
New Leadership Primes Black Advisory Group AAAA for ProgressThe Association of African American Financial Advisors adds a permanent board chair to its recent CEO appointment.
November 18, 2024
GOP Senator Calls for Rulemaking Halt Until Trump Takes OfficeA flurry of activity at the SEC and other agencies is more likely, a compliance consultant says.
November 18, 2024
Noting Buffett’s Cash Hoard, Bob Doll Warns of Stock PressureBerkshire Hathaway's cash allocation is at a 35-year high, the Crossmark prognosticator notes.
November 18, 2024
Schwab to Consider More DealsNoting the Ameritrade acquisition and the firm's Dynasty stake, Schwab's leaders say they'll keep looking for opportunities.
November 18, 2024
LPL Begins Taking in $60B in Prudential Wealth Advisor AssetsPru plans to shift 2,800 financial professionals to the LPL platform from a Fidelity unit's systems.
November 18, 2024
10 Reasons Friends and Family Members Need InsuranceIf you've been advised to sell to your favorite people, fear not: You're helping them meet real needs.