Opponents cite new evidence of harm to small account holders
CEO Robert Cook responds to concerns he's hearing during listening tour, Finra360 initiative.
Regulator stresses vulnerability testing and timely system upgrades.
Regulator censures firm for handling of customer orders for nonconvertible preferred securities
Help your clients see that overrating Mr. Trump's impact — for good or ill — could result in biased financial decisions.
Fidelity, responding to demand for fiduciary services, will be competing with third-party providers such as Financial Engines and Morningstar for distribution.
Senate Banking Committee chairman says regulatory burden 'is becoming as big an issue as the tax code.'
Addition of machine-learning technology is intended to enhance value to advisers and clients.
Even as retirees live longer, healthier lives, they've become more pessimistic about the economy, the stock market, and their own financial situation.
The Securities Investor Protection Corp. has replenished its coffers from the financial crisis and is now cutting its assessments to B-Ds. Will the savings stop there?
Kevin Graetz was also fined $10,000 for not updating U4s over seven years.
The prudence requirement in being gauged based on the portfolio in aggregate but also on individual investment options.
Says fiduciary rule will become the 'way business is done' — even if it is repealed.
Starting June 10, verification code required to access personal accounts.
Last week's ransomware attack reveals system vulnerabilities.
As part of its review, Finra is seeking comments by June 29
After a wave of global online attacks over the weekend, speculation mounted that the exposed weaknesses may trigger a surge in security spending
The largest record keeper is being more aggressive than its peers in pushing fiduciary services for retirement plans and participants, observers say.
Financial advisers should be cognizant of where the market is now relative to where it has been — and how that might be influencing their clients.
