SR-FINRA-2026-017

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…

It’s not a big enough dip to really make a difference, but mortgage interest rates are lower today. The average interest rate on a 30-year, fixed-rate mortgage ticked down to 6.67% APR, according to rates provided to NerdWallet by Zillow. This is three basis points lower than Friday and eight basis points lower than a…

The independent wealth management landscape has changed dramatically, making the decision between an independent broker dealer (IBD) and an RIA more nuanced than ever before. Louis Diamond welcomes Diamond Consultants’ Vice President of Independent Advisor Services, Josh Tomolak, for a practical discussion of how the independent space has evolved, what truly differentiates the IBD and…

When a stock falls more than 40% in just a few months, it’s natural to assume something has gone terribly wrong. Sometimes that’s true. A collapsing share price can signal slowing demand, deteriorating fundamentals, or a broken business model. But sometimes, the business remains largely intact while investors simply become less optimistic about its future….

Managed account providers argue that a key differentiator separating managed accounts from other defined contribution investment solutions is personalization, according to a recently published report by the Defined Contribution Institutional Investment Association’s Retirement Research Center, “Managed Accounts Today and Tomorrow: Industry Provider Perspectives.” The study was based on interviews with 12 recordkeepers and managed account…

That figure climbs to 44 percent among recent graduates who have used AI before, while 28 percent of Canadians who have previously used the technology trust it for insurance recommendations.  A gender split runs through the findings.   Men, at 14 percent, are close to twice as likely as women, at 8 percent, to trust AI…