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Panelists at the self-regulator's annual conference list instances when they should document the reasons for the investment advice.
May 17 -
For the first time, the brokerage's self-regulatory body is citing the 3-year-old rule as a reason to remove a firm from the industry.
May 12 -
A bill before Congress would let planners with certain securities licenses place clients' money in private markets regardless of their income or net worth.
May 10 -
The firm and an advisor kept clients in leveraged funds for extended periods, even though they were often meant to be held for a single day.
May 5 -
Investors who fled equities during last year's rout have not benefited from subsequent recovery.
April 28 -
In a new risk alert, the Wall Street regulator warns about lapses with cybersecurity, email and third-party vendors.
April 27 -
FINRA and NORC survey results suggest the flood of new investors hasn't slowed since the pandemic, and many of them are coming for digital assets.
April 25 -
The regulator's latest staff bulletin also calls on planners at hybrid firms to always be clear about if they're wearing their broker or advisor hat.
April 21 -
Researchers find that performance expectations are highest among people who invest in environmental, social and governance causes for moral reasons.
April 14 -
A new study by FINRA and NORC offered encouraging signs that people who put money into stocks and bonds for the first time in 2020 are in it for the long run.
March 8