Regulation

FINRA claimed he intentionally structured 10 cash deposits totaling $50,000 in five personal bank accounts in amounts under the $10,000 currency transaction reporting threshold.

The nation’s largest IBD plans to launch a platform with load-waived shares from 20 companies.

The former rep refused to comply with a FINRA investigation into allegations that he exercised influence over an elderly woman.

Depending on business mix, some advisers could see a pay cut.

If it’s undertaken, the appeal case will not be completed before Banks is scheduled to begin serving his 4-year sentence next month.

A new bill would go further than past attempts to block the Labor Department altogether.

Expanding the fiduciary role of CFPs is a good thing — but the fine print is worth sweating.

Some advisers are actually embracing changes by making the rules work for them.

Some predict the new standards will push more planners to drop their CFPs.

The sales-first crowd is trying (desperately) to make sense of the new regulation.