Brokers and industry groups are greeting a FINRA proposal meant to relax advisors’ obligation to report…
Tag: Regulation and compliance
JPMorgan, B. Riley and Oppenheimer weather FINRA probes
Enjoy complimentary access to top ideas and insights — selected by our editors. B. Riley Financial,…
How financial advisors can plan ahead to prevent elder abuse
The possibility of dementia or other forms of diminished capacity among older clients begs the need…
FINRA to reopen supervision plans in WhatsApp cases
FINRA is looking to lighten the supervision burden on nearly 80 firms that reached settlements before…
Ex-Schwab advisor sues over age, sex discrimination
An ex-Charles Schwab advisor is suing her former employer over alleged age and sex discrimination and…
SEC ends inquiry into Morgan Stanley’s ‘sweeps’ policies
Morgan Stanley is no longer under SEC scrutiny for its often-lucrative practice of “sweeping” uninvested cash…
How wealth firms do revenue sharing in 2025
Asked how the industry practice of revenue sharing served their clients’ best interest, nine of the…