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FINRA fights for life in 'existential threat' D.C. court case
Financial Planning via Yahoo Finance· 8 months agoAn embattled brokerage firm has its knives out against FINRA in a court case that the industry...
Will These FINRA Oversight Changes Protect Investors From Brokers?
SmartAsset via Yahoo Finance· 2 years agoThe Government Accountability Office (GAO) has called on the Securities and Exchange Commission...
What is FINRA and what does it do?
Bankrate via AOL· 3 weeks agoFinancial Industry Regulatory Authority, or FINRA, is a self-regulatory organization authorized to regulate U.S. stockbrokers and broker-dealer firms....
Can Financial Advisors Accept Gifts From Clients?
SmartAsset via Yahoo Finance· 9 months agoThe financial advisory industry has rigorous rules that apply specifically to the acceptance of gifts from clients. These regulations help uphold a...
SEC may be forced to declare Ethereum a security after controversial new launch
Fortune via Yahoo Finance· 5 months agoPrometheum plans to announce on Wednesday the launch of custodial services for Ether, the native...
Who Regulates Financial Planners?
SmartAsset via Yahoo Finance· 9 months agoThe term ‘financial planner' can apply to a broad range of professionals, including accountants, insurance agents and investment advisors. If you work in...
SEC gives GPs disclosure options for continuation funds
Pitchbook via Yahoo Finance· 10 months agoNew SEC rules on GP-led secondary deals arms managers with disclosure options in addressing conflict of interest concerns. The SEC voted Aug. 23 to adopt new rules and amendments under the Investment ...
How to find someone you trust to help with retirement planning
The Week via Yahoo Finance· 1 month agoRetired couple miniature figurines standing next to a glass car filled with coins marked...
Beware: SEC Issues Risk Alert. Here's How Clients Can Properly Vet Broker-Dealers
SmartAsset via Yahoo Finance· 1 year agoThe Securities Exchange Commission (SEC) released a risk alert related to Regulation Best Interest...
AI fears creep into finance, business and law
Washington Post via Yahoo News· 5 months agoSilicon Valley figures have long warned about the dangers of artificial intelligence. Now their anxiety has migrated to other halls of power: the legal...
