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.
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Jan 09, 2020
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Financial advisors should be using video for more than just updating clients on the markets.
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.
Reg BI, at odds with Section 913 of the Dodd-Frank Act, cannot stand, the congressmen argue.
A hearing in Boston this morning brought out advocates and opponents to Massachusetts Commonwealth Secretary William Galvin's proposed standard.
Stephanie Bruno details how she launched her own independent firm with the help of an outsourcing partner.
