Browsing Tag
FINRA
20 posts
SEC Backs New FINRA $300 Limit on Gifts
The approval was filed by the SEC on Wednesday in the Federal Register
CFP Board Taps New Chair, AB Appoints President
Plus, the latest news from The Retirement Advantage, Financial Planning Association, FINRA, Morningstar, and more
Americans Facing Harsher Financial Conditions Today
FINRA’s newest study shows U.S. adults are struggling to make ends meet today compared to previous years
Corporate Roundup: FINRA Appoints Public Governor, Lincoln Financial Taps CTO
The latest news from FINRA, Lincoln Financial, NAPA, Hightower, and more
FINRA Shuts Down B-D for Reg BI Breaches, Additional Violations
Owner and CEO suspended for a year as Melville, N.Y.-based firm made misrepresentations to customers and violated FINRA’s suitability and supervision rules
FINRA Report Highlights 4 Key 2023 Exam Priorities
New report on exam and risk monitoring program reflects new and evolving risks, industry trends, and noteworthy findings
Former Advisor Sentenced in Elder Fraud Scheme
He solicited funds by telling potential investors they would double, triple, or quadruple their investments
Former Advisor Gets 35-Year Sentence in $25 Million 401k Fraud
'He stole significant portions of investment contributions to fund his criminal enterprise and lavish lifestyle'
FINRA Again Postpones In-Person Arbitration Due to COVID
In response to the evolving coronavirus disease (COVID-19), FINRA has decided to administratively postpone all in-person arbitration and…
Reg BI and DOL Fiduciary Rule: Harmonizing Two Rules that Fulfill Lower Standards
Trust law is instructional to ERISA, and the Uniform Prudent Investment Act offers a definition of prudence. Both…