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In the Media
Reuters (January 4, 2024) By Roger E. Barton
January 4, 2024 - On Dec. 5, 2023, the Office of the Investor Advocate (OIAD) published its Report on Activities for the Fiscal Year 2023, an annual…
AdvisorHub (January 3, 2024) By Miriam Rozen
The Financial Industry Regulatory Authority proposed a rule change to tighten its requirements governing brokers’ borrowing from and lending to clients…
Financial Planning (December 27, 2023) By Tobias Salinger
Two days of panels with critics and supporters of the Department of Labor's "retirement security rule" proposal displayed the widely…
Financial Planning (December 22, 2023) By Dan Shaw
7 Expungeable assets
Life got a little tougher for brokers who are hoping to clear their names using a formal process known as expungement.FINRA…
WealthManagement (December 22, 2023) By Patrick Donachie
Industry experts cited the DOL’s fiduciary rule, further guidance on the SEC’s marketing rule and potential movement on unpaid FINRA…
ALM Benefits Pro (December 11, 2023) - By Kristen Beckman
After denying a request by financial groups to extend the public comment period for the new proposed rule, the DOL is now giving…
Financial Planning (December 11, 2023) - By Tobais Salinger
The Department of Labor's public hearing about the "retirement security rule" proposal will fill two days with panels involving more than…
Wealth Management (December 11, 2023) - By Patrick Donachie
In a recent report, the SEC Investor Advocate suggested the commission "temporarily" stop RIAs from including mandatory arbitration…
Financial Planning (December 5, 2023) - By Dan Shaw
An investor advocacy group within the SEC is warning that advisors who use contract clauses to force client disputes into arbitration could be…
InvestmentNews (November 21, 2023) - By Mark Schoeff, Jr.
'It's supervision by Zoom,' PIABA says, while Finra says the new rules reflect hybrid work arrangements while protecting investors.
A…