Targeted support services intended to combat advice gap
SRO crafts exception from ban on using performance projections
Firm, founder overstated its reliance on ESG considerations, regulator alleges
SRO would allow discount brokers to boost communication with investors
Regulators propose changes to harmonize with SEC rules, ease restrictions
Regulators ask tech platforms to outlaw unauthorized promotions
Initiative addresses rise of finfluencers, digital engagement, social trading
Firm breached rules by implying regulators endorsed ratings
Review flags conflict, independence shortcomings in private asset valuations
Much of the industry's involvement may be outside the SRO's perimeter