Securities

An advisor group warns the cybersecurity regulation is coming amid a flurry of proposals that could leave firms buried.

The test for independent advisor representatives will have novel sections on IPOs and SPACs.

At Future Proof, the founder of Pearl Planning cited fixed-income experts whose panel discussions identified value to unlock amid tumbling returns.

At Future Proof 2022, the eToro U.S. securities expert put the stock and bond losses last year into a helpful context when discussing them with clients.

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.

Even before the collapse of FTX, concerns about cryptocurrency and other risky investments were keeping regulators busy.

The Wall Street regulator's Regulation Best Execution would require firms to go to extra lengths to ensure they're getting the best deals for customers.

Hester Peirce will become the only GOP commissioner at the agency.

With over 40 ESG ratings, 150 rankings and 450 indices, a lack of standardization and transparency means scores can vary depending on which company is providing the rating.

The Salt Lake City broker-dealer, under scrutiny by regulators over its exorbitant fees and seizure of client money, lost a court battle seeking to force regulator FINRA to deal with it in person.

The alternative asset manager said it has $77 billion in cash, securities and other available capital, including uncalled capital commitments from clients.

The new funds mark the startup’s latest foray into traditional wealth management.

Clients can avoid tax liability on their capital gains by donating securities that have appreciated in value, an expert says.

One uses a factor lens for a twist on the AGG and the other focuses exclusively on investment-grade credit.

Robert Graham allegedly solicited clients into risky investments, which he directed to his private company. He is the ex-chief of the Arizona Republican Party.

Variables tend to outperform the market and can offer risk protection.

The traditional approach of buying credit to balance equity risk may no longer be of any use.

The wirehouse's traders and salespersons misled and overcharged clients with regard to the securities, the regulator charges.

Robert Dekas claimed the firm breached its fiduciary duty by executing trades in unsuitable investments, says the regulator.