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The federal regulator reopens the comment period for its rule on safeguarding client assets in response to its new auditing requirement for private funds.
August 24 -
Extra diligence on the advisor's end can help HNW clients avoid potentially disastrous lawsuits
August 24HUB International -
A brokerage client's portfolio was gradually invested almost exclusively in the fund manager WisdomTree over a decade.
August 22 -
Many advisors use real estate investment trusts to hedge against inflation while also providing steady dividend income. But private funds still provoke skepticism.
August 15 -
With a recession deferred but still looming, investors who exit equities now may later regret playing it too safe.
August 14Innovator Capital Management -
The Wall Street regulator is targeting technology that offers advice that might be against clients' best interests — even if advisors are unaware of the conflict.
July 26 -
The latest proposed changes tweak criteria that would disqualify firms from having 'residential supervisory locations.'
July 6 -
A top FINRA enforcement official warns that firms' internal compliance systems are not clued in to the often ambiguous meanings of the symbols now peppering many financial planners' communications.
June 15 -
Financial advisors say they can help combat the flow of misguided and misleading recommendations by posting more frequently and establishing more of a social media presence.
June 13 -
Federal officials have long warned of the dangers of accounts with few guardrails on what they can invest in.
May 31