The client relationship form is, by design, limited to two pages in order to ensure brevity and clarity of disclosures. Yet many are grappling with the space limitations by using interactive tools and hyperlinks to...
The team will work with individuals, families, nonprofits and foundations on investment management and retirement planning strategies, the bank announced.
The rule will be on the books by the time of the election, but there are a few paths a new Democratic administration may take to change it, according to industry experts and investor advocates.
The move to eliminate commissions at some brokerages will result in heightened scrutiny by FINRA examiners of alternative revenue sources, including cash sweep accounts and payment for order flow.
Gov. Charlie Baker raised questions about Massachusetts Commonwealth Secretary William Galvin's proposed fiduciary rule in a comment letter delivered on Tuesday.
The concerns were raised in a report released by the SEC's Office of Compliance Inspections and Examinations detailing its priorities for exams in 2020.