Regulation and compliance
Regulation and compliance
-
Expenses are rising, but revenue is flat as the regulator holds off on raising member fees.
January 18 -
The index rose more than 300 points, reaching its highest close ever.
January 17 -
The advisor transferred funds from his sibling's Wells Fargo accounts and deposited them into a jointly owned account that he used to pay off credit card debts and fund home improvements, FINRA claimed.
January 17 -
Adding five years to their working years will enable clients to replace their pre-retirement income by up to 90% instead of 60% in some cases.
January 16 -
Advisors at Fidelity, Schwab and other large discount brokerage firms make more money if they steer clients toward more expensive products.
January 16 -
The proliferation of smart beta and increased AUM are among the forecasts by industry experts.
January 12 -
The industry group is seeking restrictions on how brokers can describe their services and responsibilities.
January 11 -
A working financial planner assumes leadership of the board as its influence in Washington and nationwide hits a high mark.
January 10 -
Advisors reported significant growth in assets under management and expect more of the same in the coming months.
January 10 -
Liquidity and valuation are the regulator’s key areas of concern.
January 10 -
The law allows clients the ability to make tax-free withdrawals for elementary and secondary school expenses.
January 9 -
It’s not easy, but advisors who believe they were wronged can request their records be expunged, an expert says.
January 9 -
While the ranks of women who hold the certification surged, they still make up only 23% of the pool.
January 8 -
The regulator outlined the top priorities for 2018 examinations.
January 8 -
New digital currencies are subject to little or no regulation, the investor protection watchdog cautions.
January 5 -
Known for his advocacy for planning at all income levels, Paré wants the FPA to expand its membership to 24,000 and beyond.
January 5 -
Complaints lodged against the firm through Dec. 15 dropped 18% from the same period of 2016, federal figures show.
January 5 -
Critics say the practice of using non-attorneys, some with criminal records, to represent investors often makes their problems worse. Advocates say it's cheaper.
January 4 -
The online tool, created by the advocacy organization and state regulators, suggests tough questions for the hiring process.
January 4 -
Brokerages have broken ranks in recent weeks over whether to facilitate clients’ bets on bitcoin amid widespread concern that it’s a bubble or that the cryptocurrency’s price is potentially susceptible to manipulation.
January 4
















