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SEC Commissioners' Clash about Cryptocurrencies

In recent speeches, two Securities and Exchange Commission (SEC) commissioners, Caroline Crenshaw and Hester Peirce took opposite stands...

FINRA Reviews the Use of Social Media Influencers

The 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 Insurance

Starting from 2022, all Charles Schwab custodians must have cyber liability and E&O insurance coverage. This mandate means that all RIAs...

Exaggerated Credentials - What To Look Out For?

It's not uncommon for fraudsters to misrepresent their backgrounds. They can also do the same with their experience to lure investors...

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