Advisors holding the Certified Financial Planner Board of Standards’ designation will be expected to turn over customer dispute documents at the request of the organization during its investigations. Advisors who don’t comply could have their designation revoked, according to the CFP Board’s new proposed procedural rules released Tuesday.

Brokers across the country are worried about being able to fully be in compliance with the SEC’s Regulation Best Interest implementation date of June 30, according to the Financial Services Institute (FSI), an advocacy organization lobbying for broker/dealers.

Like many others across the country, financial advisors and firms have raced to become accustomed to a new way of working. Many offices are now empty, with many firms working entirely with clients, and colleagues, remotely.

Advisors who set up accounts to ensure their clients’ heirs received money on a particular date might have found those plans undermined by their own broker-dealers.

Compliance supervisors at Merrill Lynch Wealth Management wrapped up a review this week that may send brokers scurrying to contact advisory account customers or risk having them moved to other parts of Bank of America.

A Nevada investor’s recent victory against her former Wells Fargo broker highlights the efforts by some states to enact tougher investor protections.

Choosing a financial advisor has always been a confusing, high-stakes decision, and critics say a recent regulation designed to help consumers may actually have made it harder to know whom to trust.

The proposal by Eldorado Resorts Inc. to acquire Caesars Entertainment Corp. for $ 17.3 billion will not be closed until next year, subject to regulatory approvals, but analysts are already evaluating how sports betting operators will fare. the competition