Practice Management

FINRA, the SEC and the Commodity Futures Trading Commission fined Interactive Brokers for failing to properly support its own anti-money laundering program.

Lantern Investments Chief Compliance Officer Wendy Lanton will help represent small firms on the regulatory agency's board of governors, while Securities America's Jim Nagengast will continue to represent larger firms.

Morgan Stanley's Global Sports & Entertainment group was designated as an Institutional Financial Advisor participant for the NFLPA.

The SEC claims that Jack Brewer, a former investment advisor, sold shares of penny stock COPsync, a company he consulted for, knowing the stock price would fall.

The rush of comment letters comes on the final day of the comment period for the Labor Department's new proposal to replace the Obama administration's vacated fiduciary rule.

The full Senate vote was the last step in the SEC nominations for Caroline Crenshaw and current Commissioner Hester Peirce.

The money will help fund the CFP-registered financial planning programs at four historically Black colleges and universities.

This pandemic has created a window of opportunity for financial advisors to become the “go-to” person among their clients, prospects, COI and everyone in their orbit. Here's how.