25-00712(2).pdf
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Guidance on Donations Due to Federally Declared Major Disasters Q: Would it be consistent with FINRA Rule 3220 (Influencing or Rewarding Employees of Others) for a member or an associated person to donate goods or money (either directly or through a fundraising platform) to employees of an institutional customer for losses sustained due to a…
Merritt Point Wealth Advisors, an Old Greenwich, Conn.-based independent wealth management practice affiliated with Wells Fargo Advisors Financial Network, added a seven-person advisory team from Truist Wealth Management that oversees more than $1 billion in client assets, the firms announced. The Palm Beach, Fla.-based team includes partners Mark Elliot, Scott Friedman, Darren Dawson and John…
Congress is one step closer to making daylight saving time permanent. On July 14, the House of Representatives passed a bill that would allow states to enact daylight saving time year-round, a shift from the existing practice of changing clocks twice a year. If passed by the Senate and signed into law, the legislation –…
For the Public FINRA DATA FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist. For Industry Professionals FINPRO GATEWAY Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks. For Member Firms FINRA GATEWAY Firm compliance…
A new survey reaffirms an old paradox in retirement planning: American workers think they will need more than $1 million in savings to retire in comfort, but it’s a goal most of them don’t expect to meet. Financial firms often poll American workers on the “magic number” of savings to fund a comfortable retirement. The…
As Warren Buffett famously noted, “Risk comes from not knowing what you are doing.” Leaving one of the most recognized institutions in American finance to build something independent invites no shortage of questions from peers, from clients and, most pointedly, from within. Are we making this move for the right reasons? Do we understand the…