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Advisors Weigh In on FINRA’s Side Hustle Rule Proposal

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Wealth managers and firms say FINRA shouldn’t have a say in their part-time jobs and personal investment activity.

2 min read

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Advisor Upside

SEC Sends Message Over Off-Channel Communications

Advisory firms are having to pay hefty fines if they get caught discussing business matters on personal devices.

1 min read
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Advisor Upside

Citi’s Sweeping Changes to Wealth Unit Still a Work in Progress

America’s fourth largest bank has decided to double down on wealth management, which has resulted in plenty of new faces.

2 min read
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Advisor Upside

Morgan Stanley Faces SEC Questions Over Cash Sweeps

Morgan Stanley is the latest firm to disclose an SEC inquiry into its cash sweep program that pays paper-thin interest rates to clients.

2 min read

Advisor Upside

Social Security Backs Off From 100% Clawbacks

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A plan to withhold all benefits until historical overpayments are recouped was scrapped in favor of a 50% rate.

2 min read

Advisor Upside

CFP Board Raises Renewal Fee by 26%

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The group will increase its certification fees to $575 to support its public awareness campaign and marketing efforts.

2 min read

Advisor Upside

Edward Jones’ C-Suite Shake-Up

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The IBD is reorganizing parts of its business as executives approach retirement and the industry faces growing demand.

1 min read

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