Regulation

The settlements pose an impact to the firms accused of neglecting their Form CRS, but not to giant wealth managers bracing for stronger enforcement.

To engage current and prospective clients, advisors need to hone their voices, curate content and develop consistent posting habits, among other practices.

Lawmakers want annuities in Americans’ retirement plans in reintroduced legislation.

The Synergy RIA Compliance Solutions founder shares how advisory practices can handle the most important regulatory tasks when going independent.

A former Chase bank-based financial advisor won the arbitration award as critics say giant brokerages abuse U5 termination disclosures.

Investor advocates would like to see enforcement provisions, not just incentives.

FINRA found that Michael Mancinelli improperly exercised discretion and caused his firm to have inaccurate books and records.

Clients with a dispute against their advisor are often compelled to pay upfront for arbitration, which is unfair, write attorneys Christine Lazaro and Michael Edmiston.

Is Bitcoin at a "tipping point" and could it one day be the currency of choice for trade? The future for digital currencies can be bright, but there are still risks involved. In this session join Yan Zhao, President of NYDIG as she explores: (1) the overall discussion of how Bitcoin is experiencing wider adoption in the traditional finance world, and why that is; (2) Recent partnerships in the financial sector and how they've helped evolve the space; and (3) how and why organization are embedding Bitcoin in various financial services products like lending, payroll, banking, and investing.

Securities and Exchange Commission Chair Gary Gensler doubled down on his calls for more oversight of cryptocurrency trading platforms on Wednesday, offering new insight into his priorities as he seeks to crack down on the digital coin industry.