The Financial Industry Regulatory Authority (FINRA) is once again proposing changes to how broker-dealers supervise some of the work of advisors registered with independent broker-dealers, touching ...

FINRA rules for greater scrutiny of brokers with misconduct records may have simply nudged those individuals into insurance registrations with more lax supervision, a new study found. Processing ...

The Financial Industry Regulatory Agency (Finra) says it is pushing on with new “thematic exams” that helped the self-regulatory organization take enforcement actions against broker-dealers that use ...

Jump reports that AI is transforming financial advising, with over 70% of advisors now using AI tools for notetaking, while ...

Christina Majaski writes and edits finance, credit cards, and travel content. She has 14+ years of experience with print and digital publications. Marguerita is a Certified Financial Planner (CFP), ...

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The Securities and Exchange Commission recently approved the Financial Industry Regulatory Authority’s plan to reduce the previously established 15-day waiting period to publish details of advisor ...

Financial advisors can assist their clients with their finances in a number of ways. In fact, they often specialize in some combination of investment management, financial planning, retirement ...

Discover the key differences between Series 63 vs 65 exams, their career applications, and which is right for you in the ...