'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.
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.
While it’s important to track quantitative goals if you’re building a business, it's equally as important to track qualitative goals that advisors can use to assess whether their practice is growing in alignment with their strengths, aspirations...
