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A federal appeals court sided with Commonwealth Financial Network in its appeal of sanctions imposed by the Securities and Exchange Commission, reports AdvisorHub. The case dates back to 2019, when the SEC alleged that Massachusetts-based Commonwealth had breached its...
The Department of Government Efficiency has now brought its efforts to downsize the federal government to the Securities and Exchange Commission, reports AdvisorHub . Advisers with DOGE, which is led by Elon Musk, came to the agency recently to begin looking for ways...
The Supreme Court has decided not to stop the Financial Industry Regulatory Authority's attempt to expel Alpine Securities, WealthManagement reports. Chief Justice John Roberts denied Alpine's request to stop the disciplinary proceeding, while the Supreme Court...
The Securities and Exchange Commission obtained a final judgment against Cambridge Investment Research Advisors, Inc. (CIRA) in a case involving undisclosed conflicts in mutual fund and account recommendations, according to WealthManagement. CIRA, an Iowa-based...
A new proposal by the CFP Board is aimed at improving the process for evaluating candidates for CFP® certification, InvestmentNews reports. The proposed changes to the board's Procedural Rules involve assessing the ethical fitness of individuals seeking certification...
A settlement has been reached in the case of a Pittsburgh-based broker-dealer accused of municipal bond rule violations, AdvisorHub reports. NewEdge Securities, the brokerage arm of hybrid firm NewEdge Capital Group, agreed to financial sanctions of just over $1...
The Financial Industry Regulatory Authority is proposing relaxing its rules pertaining to brokers' outside business activities, Financial Advisor reports. FINRA Rule 3270 states, "No registered person may be an employee, independent contractor, sole proprietor,...
The Securities and Exchange Commission will be losing hundreds of staff members as the result of buyout and deferred resignation offers, AdvisorHub reports. The report, citing people with direct knowledge of the matter, said the commission's workforce would be reduced...
Registered investment advisors have received updated guidance from the Securities and Exchange Commission regarding compliance with its marketing rule, WealthManagement reports. The staff of the SEC's Division of Investment Management prepared a list of responses to...
As more financial advisors utilize artificial intelligence in their practices, they now have additional guidance to help them adapt to the technology. The Certified Financial Planner Board of Standards announced that it has published the Generative AI Ethics Guide: A...
