A new committee staffed by CFP pros and others is tasked with refreshing what consequences advisors will face for failing to comply with the board’s standards.

Experts have identified a dozen credits, deductions and more as worth particular attention this year.

“As of today, Wells Fargo Advisors is not allowing solicitation of those two securities,” a spokesperson for the bank said Wednesday.

The looming threat for Biden’s SEC pick is that the good times could end on his watch, triggering a crash that hits retail investors who’ve contributed to the boom.

Some advisory firms have already started narrowing their lists of funds considered eligible for retirement plans based on Trump’s decision to overhaul ERISA.

Letters sent to reps ask for extensive information on why they applied for a loan, how funds were received and used, and all compensation under the federal program.

The U.S. Small Business Administration released a one-page form aimed at simplifying the process of applying for forgiveness of Paycheck Protection Program loans, along with newly revised and updated forms to meet the requirements of the latest stimulus legislation.

Jacob Glick is accused of breach of fiduciary duty and misappropriating client funds, among other alleged misconduct.

SA Stone Wealth Management representative Gregory Frank Estes had already registered as a sex offender after a 2002 conviction, records show.

President Biden has picked Allison Herren Lee, a member of the Securities and Exchange Commission, as the acting chair of the SEC, as nominee Gary Gensler waits in the wings as a more permanent chair once he is confirmed by the Senate.

As Wall Street jumps on the Bitcoin rally like never before, the firm says existential risks could threaten the industry over the long haul.

The pending nominations send a clear signal that the rule-cutting and lax enforcement the industry has grown accustomed to under President Trump are over.

Biden's expected nomination for chairman is known for pushing back at banks and corporations in search of greater investor protections.

The 25-year industry veteran of four wealth managers and a trust company faced a charge of unlawful entry on public property.

Last month's COVID-19 relief bill has accountants recommending some deductions to clients, and wondering about the applicability of others.

“The sheriff is coming to the preeminent financial regulator in the world,” said Justin Slaughter, a consultant at Mercury Strategies. “It means regulation and enforcement are about to get much tougher.”

Two former FINRA employees are joining the fast-growing brokerage app.

The work-from-home phenomenon has triggered a fresh frustration for U.S. corporations: Americans are blowing the whistle on their employers like never before.

If confirmed by the Senate, the former CFTC chairman would be the new administration’s front-line regulator for Wall Street.

The U.S. Small Business Administration and the Treasury Department relaunched the Paycheck Protection Program on Monday to new borrowers, prioritizing loans from community lenders.