SRO sees crypto, AI and new account fraud among emerging issues
Appeal Court finds alleged fiduciary duty breach can be basis for class action
Decision on tougher investor protection measures coming by end of 2025
Regulator's exam division sets compliance priorities for 2024
Tech-assisted recommendations can improve client outcomes
Firms make token effort to raise standards, cling to suitability, NASAA finds
Margins, profits to be squeezed as consumer protections boosted
Regulators found firms are failing to identify and manage conflicts in clients' best interests
FINRA expels firm; SEC, DoJ charge broker for exploiting vulnerable investors
SRO expels brokerage over widespread regulatory violations