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The change could alleviate firms’ recruiting worries that they must pay trainees to spend the first few months studying.
October 6 -
Authorities say increased regulatory coordination has boosted scrutiny of firms and advisors.
October 6 -
Chairman Jay Clayton says the regulator is drafting a rule proposal to harmonize standards for brokers and advisors.
October 5 -
What led Louis Martin Blazer III to cooperate with federal prosecutors?
September 29 -
The storm devastated Puerto Rico, which has seen a surge of client complaints.
September 27 -
State examiners are finding more shortcomings. At the same time, advisors face bulked-up regulators probing more aspects of their practices.
September 27 -
Advisor Munish Sood is charged with fraud and bribery by FBI and U.S. Attorney.
September 26 -
The advisor targeted clients he obtained at Social Security seminars, according to prosecutors.
September 26 -
The wirehouse failed to properly supervise more than $33 billion worth of UIT transactions, according to FINRA.
September 25 -
The rep purportedly received an email from the impostor requesting that she sell securities to fund the wire request to a third-party in the United Kingdom.
September 25