Broker-dealers see some unpleasant wrinkles to Finra's proposal to free them from having to oversee outside advisory activities.
President Trump's tariffs would add further fuel to building inflationary pressures, Richard Bernstein said.
The plan would revamp Finra’s rules on outside business activities and private securities transactions.
Cetera's CEO tries to reassure advisors following speculation the firm was being sold.
Market historian Sam Stovall, also CFRA's chief investment strategist, says investors should brace for more 5% declines.
Finra pointedly criticized LPL Financial for its termination of two individuals in 2016.
The advisor firm catering to accountants wants to beef up its tech offering.
RIA firms that self-report violations and make restitution to clients will not face penalties.
The SEC wants to spend more on technology, cybersecurity, enforcement and examinations.
Investors are finally waking up to the fact that we're in a late-cycle business phase, he said.
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