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FINRA Annual 2024: Industry execs take on Gen AI, Reg BI, WFH and more
At the FINRA annual conference, industry executives talked about how SEC and FINRA rules work in practice.
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DOL finalizes fiduciary duty rule to weed out conflicts, bad retirement advice
DOL’s new fiduciary rule is out and will subject many new financial planners and insurance agents to the Employee Retirement Income Security Act.
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Robinhood settles with Mass. regulator over its ‘gamification’ features
Robinhood will overhaul its practices to resolve allegations that it encouraged inexperienced investors to place risky trades.
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NYC pension case tees up first test of GOP fiduciary duty theory
All eyes are on a US legal clash that could rule ESG considerations a breach of fiduciary duty.
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SEC seeks information from IAs about their use of AI tools
The SEC’s examinations division sent requests for information on AI-related topics to some investment advisers.
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SIFMA issues State of the Industry Briefing, FINRA recaps on Reg BI
Trade association assesses market trends while regulator pulls together guidance on Reg BI.
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US roundup: Discrimination, money laundering, crypto enforcement
Morgan Stanley’s wealth management unit faces scrutiny; move to block SEC use of government money to target crypto, and Citi pays up for illegal discrimination.
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New Jersey asset management firm CCO pleads guilty to $401m fraud
With SEC and DOJ charges pending, we examine the case and assess the implications of the CCO’s characterization as a gatekeeper.