Broker dealers

An advisor was terminated after accepting money from a brother, who was also a client. Is such a loan allowed?

The fintech company, which was forced to rebrand its cash management product last year after misleading marketing caused a backlash, is seeking a national bank charter.

The requirement is back in the spotlight as consumer advocates and business interests face off on proposal to outlaw this key provision of customer agreements.

Having ‘fessed up to improper 12b-1 fee disclosures, dually registered advisors might still be excluded by FINRA.

Advisors and trade groups resist a patchwork of regulations, saying it would limit consumer choice and increase firms’ expenses.

It may seem like your interests are aligned but there could be conflicts.

Even as Nevada, Maryland and New Jersey press ahead with their own proposals, the IAA seeks exemption for SEC-registered advisors.

Digital tools will not only allow advisors to serve more clients, they can help advisors charge for services with greater accuracy.

There are no “alternative facts” in the law, just truth, opinion and lies. Two you can’t sue for. And the third? Well, brokerages are very careful with their words.

The decision by Carson Group’s CEO came after a two-year examination of the business revealed some changes that needed to be made.

The regulator says it will keep an eye on issues like cybersecurity and cryptocurrencies.

The regulator details numerous (and familiar) compliance failures in its annual summary of exam findings.

The regulator bills the move as the latest effort to bring transparency to the challenge of unpaid awards.

Enforcement actions against IAs and reps at the state level soar in 2017, according to NASAA report.

Large teams formerly at wirehouses now account for 30% of new RIAs, according to new research by Schwab Advisor Services.

Copying big banks, smaller institutions are pairing with robos to meet changing mass-affluent preferences in long-term investment products.

Digital brokerages are boosting features to bring in new clients.

Firms designated as “taping firms” due to the high number of brokers they hired from disciplined firms may soon have their status as taping firms disclosed in BrokerCheck.

Creation of the blue-ribbon body draws praise and confusion from CFPs who question its utility.