Practice

Maybe not, says FINRA — but if you’re IM’ing, using slides during the virtual meeting, or recording it, probably yes.

The wealth management firm says the pandemic has proven how invaluable the benefit is for retaining talent.

The rules address the definition of real property, and how to handle personal property included in an exchange.

One thing was made clear at the annual event: There’s more work to be done.

James Booth’s seven-year fraud bilked investors out of nearly $5 million.

The No. 1 IBD is responsible for nearly half of the dozen mega-moves in its sector this year.

The Office of the Comptroller of the Currency says JPMorgan Chase’s fiduciary unit lacked sufficient controls to manage risk and avoid conflicts of interest.

As some firms closed their doors, the regional BD saw a selling point for new recruits and existing FAs in a different approach.

Far from commoditized, digital advisors' performance varies widely, according to new research.

“Financial advisors typically don’t speak athletes’ language, so athletes and entertainers gravitate toward those people who do,” said former Chicago Bears defensive end Adewale Ogunleye.