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FINRA's New Home Office Rules Are Causing Headaches for BDs | ThinkAdvisor
ThinkAdvisor· 4 days agoThe Financial Industry Regulatory Authority’s new Residential Supervisory Location rule, which takes...
With a 45% stake, Magni-Tech Industries Berhad (KLSE:MAGNI) insiders have a lot riding on the...
Simply Wall St. via Yahoo Finance· 6 days agoIf you would prefer discover what analysts are predicting in terms of future growth, do not miss...
How Creativity Makes Financial Freedom More Inclusive
Forbes· 6 days agoFinancial freedom is a top priority for most households — but achieving it is often easier said than done. In fact, a 2023 survey found that just 11% of Americans felt they ...
US appeals court accepts broad definition of securities ‘dealer’ in microcap fund case
Reuters· 4 days ago... and Exchange Commission’s expansive view of who must register as a securities dealer, handing a...
JD Supra: UK Regulators Publish Approaches to AI Regulation in Financial Services
JD Supra· 1 day agoOn 22 April 2024, the Financial Conduct Authority (FCA), the Prudential Regulation Authority (PRA) and the Bank of England published their strategic approaches to regulating ...
Biden Vetoes Bill Overturning SEC Crypto Accounting Standard SAB 121 – Here's What That Means
Cryptonews· 2 days agoPresident Joe Biden has vetoed a resolution aimed at overturning the U.S. Securities and Exchange...
Insurance Groups Sue to Overturn DOL Fiduciary Rule
Barrons.com· 6 days agoAnd these losses add up.” The legal challenges to the DOL rule were widely...a stronger legal foundation than the last effort. Thompson credits the DOL...
AI Bubble Fears May Be Overstated | ETF Trends
ETF Trends· 10 hours agoConsider the following point courtesy of Wall Street Journal financial columnist James Mackintosh. In May, Apple (AAPL), Alphabet (GOOG), Microsoft...
The Biden admin just finalized a controversial new retirement rule — here are 5 things you need to...
Moneywise via Yahoo Finance· 6 days agoIt could make accessing advice harder The rule sounds pretty great so far, so why is it...
Agencies Issue Joint Proposal to Curb Incentive-Based Compensation in the Financial Services ...
JD Supra· 5 days agoThe proposal seeks to make executive compensation arrangements more sensitive to risk and would require complex risk management programs to ensure compliance. On May 6, 2024, the Federal Deposit ...