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Some of the largest firms and their most stringent critics are wondering what Gary Gensler’s team will do in 2022 with Reg BI.
February 4
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The firm’s industry-leading headcount of financial advisors expanded by thousands last year, with more recruits coming in their wake.
February 4
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Leadership worried that by trying to be everything to everyone, the association risked diminishing its appeal and determined to address the issue once and for all.
February 3
Financial Planning Association -
Jeffrey Santulan and his company, Safeguard Metals, are facing enforcement actions by the SEC, the Commodity Futures Trading Commission and 27 state securities regulators.
February 3
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A group of lawmakers teamed up Thursday to introduce bipartisan legislation that aims to create a workable structure for taxing purchases made with cryptocurrency.
February 3
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The 43% of candidates who successfully finished the series in November is the third-lowest pass rate for the Level III exam and below the 10-year average.
February 3
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The wirehouse and its attorney “manipulated the arbitrator selection process” and “introduced perjured testimony,” according to the ruling.
February 2
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This elite group of young regional employee representatives collectively generate more than $87 million in annual revenue.
February 2
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The bank plans to let the digital advisor operate as a standalone unit while looking for near-term “easy wins.”
February 1
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The Financial Services Institute and nonprofit Inroads launched a new collaboration designed to foster more underrepresented advisors.
February 1
