SEC Commissioners' Clash about CryptocurrenciesIn recent speeches, two Securities and Exchange Commission (SEC) commissioners, Caroline Crenshaw and Hester Peirce took opposite stands...
FINRA Reviews the Use of Social Media InfluencersThe Financial Industry Regulatory Authority (FINRA) examines how brokerage firms utilize social media platforms and influencers to...
Schwab Requires RIAs to have E&O and Cyber Liability InsuranceStarting from 2022, all Charles Schwab custodians must have cyber liability and E&O insurance coverage. This mandate means that all RIAs...
