Since 2016, the proportion of mutual funds in fee-based accounts increased by 53%
A dealer has reported a fake message impersonating the SRO
The average client has $75,000 in assets and is saving for retirement, an MFDA report says
Former rep hit with $850,000 fine for breaching a variety of SRO rules
CSA, SROs provide guidance on client-focused reforms requirements
The CSA warns the industry against abuses as bans loom for trailers, DSCs
Respondents to a poll favoured enhanced oversight and comprehensive SRO reform
The former advisor claimed the $16,000 he received from the client was a gift
The inadequate supervision involved suitability, concentration in sector funds
Ian Russell responds to comments on his opinion piece on SRO consolidation