SEC's Texting Crackdown Rages On, With RIAs Likely Next
What You Need to Know Regulators have levied more than $3 billion in fines over unauthorized use of texting and...
life insurance
FINRA Levies First Enforcement Action in Finfluencers Sweep
During this period, more than 39,400 new accounts were opened and funded with the help of approximately 1,700 influencers working...
SEC Fines Two Firms for Bogus AI Claims
What You Need to Know Both firms agreed to pay six-figure fines. The U.S. Securities and Exchange Commission penalized two...
States to Send New CEO Into Annuity Sales Standards Fight
The National Association of Insurance Commissioners has named Gary Anderson to be its new chief executive officer. Anderson will take...
Americans' Biggest Financial Regrets
Start Slideshow Seventy-four percent of American adults have at least one financial regret, while 20% purport to have no financial...
Fed Hikes Slash Household Net Interest Income in Break From Past
On the spending side, interest costs rose faster this time because Americans now have a larger share of their debts...
Is Long Term Care Insurance Worth It? Pros & Cons
Long-term care insurance can offer many benefits if you end up needing it in the future. For example, long-term care...
FINRA Fines Osaic Wealth, Securities America Over Cyber Breaches
The Financial Industry Regulatory authority is requiring Osaic Wealth and Securities America to each pay a $150,000 fine over cyber...
Advisor Accuses LPL of 'Raiding' His Firm in Retaliation
What You Need to Know The lawsuit claims that the financial services company induced three advisors to take clients upon...
How Advisors Can Make a Difference for Aging Clients
Additionally, it is an advisor’s responsibility to immediately connect with a client’s spouse or designated “trusted contact” upon observing signs...
