The proposals would mandate that advisors craft written policies and procedures intended to address cyber risks that could harm clients, according to Chair Gary Gensler.
'The 2022 Report on FINRA’s Examination and Risk Monitoring Program' also looks at firms’ Form CRS compliance and approaches in working with clients via mobile apps.
James Iannazzo’s tirade in a Fairfield, Conn., smoothie shop was captured on video and viewed by millions. The CFP’s suspension comes after Iannazzo was arrested and charged by Fairfield police, and dropped by Merrill Lynch.
The SEC charged Michael M. Beck for recommending penny stocks to his millions of Twitter followers under the handle '@BigMoneyMike6,' while selling his shares once the prices climbed.
Voya Financial's Charlie Nelson shares his expertise of RPAs and how financial advisors can leverage their utility to benefit clients’ retirement plans, financial plans and employee benefit programs.
The Federation of Americans for Consumer Choice, a trade organization for insurance agents and agencies, argues that new interpretations in the rule have similar ramifications of the vacated Obama-era regulation.
