Brand Marketing

The Credit Card King Who Thought FINRA Was Too Busy to Notice

Leave a Comment / Finra

When “Business Expenses” Look Suspiciously Like Your Weekend Lifestyle FINRA disciplinary action, broker misconduct case, financial advisor sanctions, corporate credit card fraud, and regulatory investigation failure all sound like serious industry risks. But today’s case shows someone took those risks as a personal challenge. Because nothing says “I value my career” like using your employer’s […]

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Global Markets Unglued: Inflation, Reshoring and Capital Flow Shifts in 2026

Leave a Comment / regional investing 2026

The Global Map Is Changing Fast Global market fragmentation is now reshaping every part of investing. Inflation investing 2026 demands a new playbook. The reshoring investment theme grows stronger. Capital flow shifts push markets into regional blocs. Regional investing 2026 is no longer optional; it’s the new baseline for risk management. Inflation Forces a New

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How Portable Mortgages Could Rewrite MBS Risk for Wall Street

Leave a Comment / portable-mortgage

Industry Shift With Real Consequences The push for portable mortgages is gaining attention. Homeowners want to keep low rates when they move. The policy helps them, but it forces major changes inside the mortgage finance system. Every investor in mortgage-backed securities will feel it. Prepayment Risk Drops Portable mortgages reduce prepayments. During a move, borrowers

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Treasury Borrowing Advisory Committee Hints at Higher Issuance: What Advisors Should Watch

Leave a Comment / Treasury Borrowing Advisory Committee

Treasury Signals More Borrowing Ahead The latest minutes from the Treasury Borrowing Advisory Committee reveal how U.S. fiscal policy will shape the bond market going into 2026. The committee projected FY 2025 receipts of $5.235 trillion (up 6% year-over-year) against outlays of $7.01 trillion (up 4%), pointing to continued structural deficits. It also recommended increasing

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IPO Filings Signal Market Confidence, but History Warns Against Euphoria

Leave a Comment / ipo

IPO filings and S-1 filings from companies like Circle Internet Group and CoreWeave show that the securities market is regaining investor confidence. After two years of hesitant deal flow, firms across tech, energy, and infrastructure are testing public markets again. The question is whether this revival reflects genuine strength or another short-lived burst of enthusiasm.

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FINRA; outside brokerage accounts; supervision; Rule 3110; compliance failure

Unsupervised Accounts and Unsupervised Common Sense: Another Broker Dealer Gets Fined

Leave a Comment / Rule 3110

Let’s play the game of “What The hell is happening Here”. FINRA, Rule 3110, monitoring, noncompliance, and outside brokerage accounts. Five indicators that a company has forgotten how to manage grownups. The company pledged to implement fundamental controls. Why. Over 50% of its associates maintained one or more external accounts that the company was unaware

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SEC Turns Up the Heat: Wells Notices Aren’t “Technical Issues” Anymore

Leave a Comment / SEC

The SEC, Wells Notice, compliance, enforcement, and investigations. Five words that strike fear into legal teams that thought “it’s only a technical issue” was a winning defense strategy. Sorry. Not anymore. The SEC has decided it’s done with firms pretending they’re shocked when a regulator shows up asking questions. The agency is tightening its Wells

SEC Turns Up the Heat: Wells Notices Aren’t “Technical Issues” Anymore Read More »

asset management trends

Market Momentum Returns: Five Trends Asset Managers and Broker Dealers Can’t Ignore

Leave a Comment / market

The markets are waking up again, and the latest asset management trends show where money and regulation are headed next. Asset managers, broker-dealers, and funds are pivoting fast as technology, macro shifts, and investor behavior collide. First, stocks are now again popular. According to Principal Asset Management, rising business cycle indicators are reviving international markets.

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