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July 11, 2018

Trump's SCOTUS Nominee Sided with Fiduciary Standard Advocates
On an appeals court bench, the nominee sided with the FPA in overturning the so-called “Merrill Lynch rule.”
Goldman Sachs Wants Investment Bankers to Bring Wealth Management Business
The company wants to grow new revenue by $5 billion over the next three years.
BD Firms Reveal Their Big Social Media Worries
Unauthorized social media accounts and the potential for embarrassment top the list.
Can the SEC Even Keep Up with the Firms It Regulates?
Watchdog’s annual budget pales in comparison with those of Morgan Stanley and JPMorgan Chase.
How RIAs Feel About Sharing Their "Advisor" Status With Broker-Dealers
Here's what Top 300 Financial Times Advisors have to say.  Video [ 4:35 ]   Transcript  
Finra Wants Firms to Declare Cryptocurrency Activities
Trading, custodying and accepting payments in digital currencies are among the activities Finra wants to know about.
SEC Bars Ex-LPL Financial Advisor Over Annuity Sales
Last year, the former representative was ordered by Massachusetts regulators to disgorge $1.9 million in commissions.