Displaying 174 results
Cantor plans hundreds of job cuts
The move runs counter to vows by many Wall Street firms not to lay off workers amid the pandemic
Finra rule allows investors more latitude in arbitration if brokers disappear
Now customers can withdraw their claim and proceed in court or file additional claims against firm personnel
Finra rule would require stronger supervision of rogue brokers
The proposal allows hearing officers to impose additional supervision requirements for brokers involved in disciplinary matters
Private equity owners of IBDs will be tested during the downturn
How will they hold up as they deal with the fallout from COVID-19?
Party’s over, Florida. Advisers see trouble looming in state’s economy
A recession could be coming for the Sunshine State, says a Wells Fargo Securities analyst
Finra bars no-show former Cadaret Grant rep
Gerald Dewes had been discharged by the firm for selling away
Finra cancels annual conference in response to COVID-19 outbreak
The organization’s premier event sets the tone for its oversight of brokerages
Top 10 advice firms ranked by investor satisfaction in 2020
Advisory firms headed into this year’s market turmoil with happy customers, according to J.D. Power's latest survey of investors' satisfaction with their advisers
Communicate or get kicked to the curb
Communicate with your clients immediately, whether it's with a call, a text or an email – or face the consequences
Moody’s cites revenue concerns on three large IBDs
LPL, Cetera and Advisor Group are bellwethers for the independent broker-dealer industry
LPL adding hours to its back office
The firm will be open for advisers' business on Saturdays, too
Edward Jones asks advisers to halt face-to-face meetings with clients
The firm is one of many in the brokerage industry making changes to work policies in response to the coronavirus
HSBC pays $750,000 to settle with SEC on adviser comp practices
The agency charged the firm with misrepresenting how it paid dually registered reps
Finra postpones in-person arbitration hearings until May 1 due to COVID-19
The broker-dealer regulator said it is taking action ‘in the interest of public safety’
Finra files rule clarifying where Reg BI supersedes suitability standard
Broker-dealer regulator says Reg BI will clamp down on sales contests
Advisers working from home increases compliance risks
As the coronavirus leads more to work remotely, supervision and the archiving of communications with clients become critical
Market volatility likely to lead to outbreak of Finra arb cases
Arbitration experts say similar market disruptions in the past resulted in more investor claims against brokers
Broker-dealers must stay on their toes amid coronavirus: Finra
B-Ds should consider having employees and advisers work remotely or from home due to the pandemic, regulator says
Wells Fargo cuts outlook for brokerages amid outbreak
The report slashed share price estimates by 22% on average
SEC poised to release guidance on Reg BI implementation this month
Other priorities: Probing whether ESG funds live up to the hype, zeroing in on fee conflicts
