Who knows what will happen this year? We do know there is little probability you will discover more free time. That’s why we offer up this year-end outlook of contributed pieces from dozens of firms that partner with WealthManagement.com.
The move to eliminate commissions at some brokerages will result in heightened scrutiny by FINRA examiners of alternative revenue sources, including cash sweep accounts and payment for order flow.
The concerns were raised in a report released by the SEC's Office of Compliance Inspections and Examinations detailing its priorities for exams in 2020.
