The regulator “will closely review actions taken by regulated entities that may disadvantage investors or otherwise unduly inhibit their ability to trade certain securities.”

The GameStop-Robinhood saga is a distraction from what’s really wrong with mainstream investing in America.

Before you can determine if Bitcoin, Big Data or any other prepackaged, recipe-for-success advice is right for your firm, you need to get in touch with your values.

The pandemic has accelerated the spread of remote work so much that many firms have adopted digital communication and collaboration platforms without building out the necessary policies and procedures to prevent mistakes.

A new report from the Institute for the Fiduciary Standard urges the SEC to “rebrand Reg BI as a ‘New Suitability’ standard for broker/dealers” to clarify that brokers’ product recommendations are different from best interest fiduciary advice.

Don’t underestimate the power of social media and its ability to mobilize, organize, motivate and influence people, including clients.