The Securities and Exchange Commission (SEC) released guidance concerning industry advisor's compliance with the new Investment Adviser Marketing rule.
I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!
The Securities and Exchange Commission (SEC) released guidance concerning industry advisor's compliance with the new Investment Adviser Marketing rule.
FINRA fined Citigroup $15 million for failing to supervise research analysts and their handling of material non-public information.
Amidst swirling speculation regarding its connections with a client linked to the Prophecy Asset Management collapse, B. Riley Financial Inc. has conducted an internal
review, concluding no affiliations with the defunct hedge fund.
A recent analysis by Golsan Scruggs reveals a staggering 231 percent increase in errors-and-omissions (E&O) liability claims among registered investment advisor (RIA)
insurers.
According to a recent analysis, Reg BI-related actions quickly have ascended to the top five issues for FINRA, with fines totaling $6 million in 2023.