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:
Protecting Senior Investors from Scams Becomes Priority
FINRA panelists said identifying vulnerable clients and navigating complex family dynamics are key to preventing fraud.
FINRA Panel: Social Media as an Investment Guidance Tool
As ‘finfluencers’ shape how younger investors engage, firms and regulators are grappling with risks of compliance, fraud and financial literacy.
What Advisers Can Learn From ‘Finfluencers’
Recently released FINRA research shows 61% of surveyed investors aged 18 to 34 made investment decisions based on recommendations from...