Wealth Management (May 11, 2022) - Asset managers and many advisors are waving red flags around FINRA's proposal to craft new rules for "complex products," which could make it harder to invest in…
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In the Media
Financial Advisor (May 10, 2022) - The Financial Industry Regulatory Authority received more than 750 responses to its complex product request for comment by the time the comment period closed on…
ThinkAdvisor (May 4, 2022) - What You Need to Know
FINRA is moving ahead on an overhaul of its expungement process.
A lawyer for investors says too many expungements are still being granted.
A…
Financial Advisor (April 29, 2022) - The Financial Industry Regulatory Authority is resurrecting an effort to revise its expungement process, citing a variety of ways its reps push the system to…
FinancialPlanning (April 28, 2022) - After FINRA’s withdrawal of a broker expungement arbitration reform proposal, the regulator is now suggesting a “two-track approach” that includes the SEC…
Financial Advisor (April 27, 2022) - Vanguard is not planning to follow in Fidelity Investments’ footsteps and develop a bitcoin offering for its 401(k) plan investors, the broker-dealer told…
ThinkAdvisor (April 26, 2022) -
What You Need to Know
Fidelity’s new workplace Digital Assets Account for 401(k) plans will have Bitcoin as an investment option.
The 23,000 or so firms using…
FinancialPlanning (April 12, 2022) - A wealth manager that’s under different ownership after letting go of hundreds of financial advisors as part of a compliance overhaul settled a FINRA case…
ThinkAdvisor (April 11, 2022) - What You Need to Know
A judge threw out an arb decision that favored the bank after finding that Wells Fargo had manipulated the arbitration process.
The court didn'…
Think Advisor (April 8, 2022) - The decision in Badgerow v. Walters does not change the use of forced arbitration by the securities industry against investors, the president of PIABA says.
The…