Risk management

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.

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.

The SEC, FINRA and NASAA issued an investor alert warning of fraud, fees and tax complications for self-driven retirement accounts that invest in alternative assets.

Research firm Cerulli reports that investing in private equity, real estate and other alternatives was up 23% in 2022.

The new year brings new regulations and the end of grace periods from federal and self regulators.

FINRA warned brokers in its latest annual report about not being fully up to speed with the client-care rule.

Government watchdogs propose more oversight amid collapse of crypto and falling markets.

The top U.S. financial regulators are worried about the prospect of deeper ties between digital-asset firms and Wall Street.

Publicly traded companies exposed to the "crypto winter" and the collapse of FTX or other digital-asset companies might have to disclose those details to investors under new guidance from the Securities and Exchange Commission.

Moves by cryptocurrency exchanges to reassure markets about their stability are having little effect on jittery users, who keep pulling funds from the venues.

The founder of the JLL Income Property Trust non-traded REIT thinks real estate deserves a place on advisors' list of alternative investments.

In hindsight, Sam Bankman-Fried's April interview with Bloomberg's "Odd Lots" podcast was a harbinger of his epic collapse last week. He described a "box" that has value only because other people put money in it, and, when confronted with the idea that he described a Ponzi scheme, admitted there was a "depressing amount of validity" to that.