Risk management

With market uncertainty still in the air, annuities continue to break sales records. Advisors say they work for some clients, but not all.

The federal regulator reopens the comment period for its rule on safeguarding client assets in response to its new auditing requirement for private funds.

Extra diligence on the advisor's end can help HNW clients avoid potentially disastrous lawsuits

A brokerage client's portfolio was gradually invested almost exclusively in the fund manager WisdomTree over a decade.

Many advisors use real estate investment trusts to hedge against inflation while also providing steady dividend income. But private funds still provoke skepticism.

With a recession deferred but still looming, investors who exit equities now may later regret playing it too safe.

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.

The latest proposed changes tweak criteria that would disqualify firms from having 'residential supervisory locations.'

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.

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.

Federal officials have long warned of the dangers of accounts with few guardrails on what they can invest in.

Panelists at the self-regulator's annual conference list instances when they should document the reasons for the investment advice.

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.

A bill before Congress would let planners with certain securities licenses place clients' money in private markets regardless of their income or net worth.

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.

Investors who fled equities during last year's rout have not benefited from subsequent recovery.

In a new risk alert, the Wall Street regulator warns about lapses with cybersecurity, email and third-party vendors.

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.

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.

Researchers find that performance expectations are highest among people who invest in environmental, social and governance causes for moral reasons.