FINRA Fines BBVA Securities for Failing to Monitor Annuity Exchange Rates

Published on November 14, 2024

The broker-dealer did not have an adequate supervisory system in place, the regulator found.

Continue reading on website
Other news

GCM Grosvenor Starts Foray Into the Retail Investor Market

November 14, 2024
The alternative asset manager is launching its first interval fund and serving as a core independent manager on another as it looks to develop new products.

Debate: Should the SALT Deduction Cap Be Eliminated?

November 14, 2024
The state and local tax deduction limit of $10,000 per federal return could expire after 2025.