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The self-regulator has stressed a shift away from mere compliance and toward active self-surveillance to uncover improper off-channel messaging.

Here's what advisors at the $2 million production level can expect to earn at large and regional firms

Donna Bungard is a senior marketing accessibility program manager at Indeed. Donna holds international certifications in accessibility and management, and is pursuing a MS in Global Technology and Development. She is part of the larger disabled community. At Indeed, Donna helps teams infuse disability inclusion into the DNA of all we do.

Back in December 2023, Wall Street was hoping for rate cuts early and often. But as of May 2024, "higher for longer" seems to be the new policy — at least for now.

The merger "will fundamentally transform the RIA ecosystem," tru CEO Craig Stuvland says.

Advisor advocates say they are beginning to look to civil courts and other FINRA alternatives to get erroneous customer complaints removed from their clients' online records.

Higher expenses from the record headcount of financial advisors and a continuous stream of recruits and acquisitions are investing in the firm's future earnings, though.

Tyson Chapman is COO of Platform Accounting Group. He leads operations across all of Platform's offices and holds a BS in Economics from Brigham Young University and an MBA from the University of Chicago.

Analysts find that funds selling call options tend to do poorly in bull markets and lag behind broader market indexes.