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While FINRA rules spell out what brokers generally need to determine a client's financial situtation, there can be gray areas, an expert says.

Democrat Joe Biden is expected to name his SEC chairman pick in the coming weeks.

The benefit is becoming more popular now that it can be offered and managed digitally.

The more out-of-left-field the change, the more profound the lesson learned, our columnist has found in the corporate and individual practice realms.

Former CEO John Stumpf agreed to pay a $2.5 million penalty to settle civil charges tied to the bank’s fake-accounts scandal. Former community bank head Carrie Tolstedt did not agree to a settlement and is now facing a lawsuit that alleges she committed fraud.

The former U.S. attorney for the Southern District of New York was also once a top aide to Senate Minority Leader Chuck Schumer.

OCIE's recent exam initiative uncovers widespread supervision shortfalls in large, geographically dispersed firms.

The addition for Venture Visionary Partners grows its staff to 28 and total AUM to $3.7 billion.

Executives provided advisors an update. The company has separately said it cut more than 200 retail branches at the end of last month.

A former chief information officer of PR firm Cision will take over as CTO following Scott Grinis’s retirement.

The average expense ratio for this group was more than 100 basis points.

The 40-advisor OSJ brings more than double the assets of any other new group unveiled across the IBD network in 2020.

A moderate pick with financial sector ties could upset progressives, while the likely GOP majority in the Senate could balk at a nominee seen as too liberal. Here are some of the candidates.

With a new administration, the regulator has an opportunity to renew its focus on a key pillar of its mission.

While Trump’s administration could slow down transition efforts by disputing election results, big U.S. companies are moving on.

If Republicans keep their majority, the incoming administration will likely have to pick moderates over progressives to have any chance of getting its nominees approved.

Opening a bank or investment account — or even securing employment in a racism-free workplace — is out of reach for many Black Americans.

Big changes to regulations and retirement planning could be in the mix following the Democrat’s election victory.

With a Democrat set to take the White House in January, the agenda for agencies like the CFPB could undergo a rapid transformation, housing finance reform could be turned on its head and progressive banking ideas that were unthinkable over the past four years could gain traction.

But the regulator also ordered record payouts in 2020, including restitution through a self-reporting program that drew industry ire.