trendspotting
Bipartisan Bill Seeks Expanded Oversight of Advisers
The U.S. House Financial Services Committee introduced legislation that would authorize one or more self-regulatory organizations (SROs) for advisers.
Reported by
Jill Cornfield
To access this premium content, please sign up for a free account!
You Might Also Like:
CFP Board, FINRA Consider Rules Feedback
The potential change to how the CFP Board treats applicants with expunged convictions comes as FINRA considers a five-year statute...
EBRI: Financial Capability Linked With Workplace Financial Education Programs
Even when controlling for demographic variables, positive relationships remain, according to data from a joint study.
Advisers at ‘Forefront’ of Digital Fraud Detection, Prevention
A FINRA conference panel discussed how timely notification of fraudulent activity can protect targeted clients and advisory firms.