Miriam Rozen is a Senior Editor at AdvisorHub. With a focus on finance, trading, and legal affairs, she covers a range of topics including cryptocurrency regulation, wealth management, and corporate finance. Miriam's work has been featured in the Financial Times, AdvisorHub, and Knowledia.
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Miriam Rozen's articles predominantly cover legal and regulatory aspects of the finance industry, with a focus on brokerage firms, financial regulations, compensation plans, and client complaints. Her coverage includes government announcements and press releases related to these themes.
Given her extensive coverage of legal policy regulation in the finance sector, she is likely to be interested in receiving pitches from legal experts specializing in financial regulations or compliance issues. Additionally, professionals with insights into business practices within the finance industry may also find success pitching stories relevant to broker recruitment deals and changes in compensation plans.
While Miriam does not have a specified geographic focus for her articles, it would be beneficial for sources reaching out to her to provide expertise or commentary that is globally applicable within the scope of financial regulations and industry practices.
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The Financial Industry Regulatory Authority is focused on narrowing the gap created by the “regulatory arbitrage” between its broker-dealers and RIAs, Finra Board Chair Scott Curtis said on Wednesday.
Good things take time. That maxim might appease brokers and their firms who have been waiting years for a final word on Financial Industry Regulatory Authority’s proposals to reform rules governing registered representatives’ outside business activities.
Ameriprise Financial has sweetened the pot for outside recruiters with offers of up to 16% of a recruited advisor’s trailing 12-month production, according to three headhunters.
By: Miriam Rozen
The Financial Industry Regulatory Authority has launched a pilot program to allow some firms that self-report potential violations as required by industry rules to avoid an immediate regulatory investigation, according to a senior enforcement official.
The Financial Industry Regulatory Authority (FINRA) has launched a pilot program that could allow some financial firms to avoid immediate regulatory investigations if they properly self-report potential violations. Under the initiative, participating firms would complete more detailed disclosure forms, conduct their own internal reviews and carry out remediation efforts while providing updates to FINRA as needed. A senior enforcement official said the goal is to give firms more “ownership” of compliance problems and resolve issues more efficiently without the burden of a simultaneous formal investigation. However, FINRA emphasized that participation in the pilot does not guarantee immunity, as the regulator can still investigate, request information or bring disciplinary actions.
Ameriprise Financial won a roughly $1.4 million clawback against a former broker, but the advisor prevailed on his request to revise the explanation for his firing on his public BrokerCheck record, according to an arbitration award.
Six former Edward Jones & Co. financial advisors, who are Black and from multiple states, filed a proposed class-action race discrimination case in federal court in Missouri on Tuesday.
By: Miriam Rozen
Brokers and investment advisors face strict rules and supervisory requirements when giving personalized investment advice or offering artificial intelligence tools to clients, but AI companies do not face the same scrutiny, the chief legal officer at online brokerage Robinhood Financial warned.
Brian Moynihan, chief executive officer of Bank of America Corp. Photographer: Jason Alden/Bloomberg
Mariner Wealth Advisors reported last week that hackers violated its systems and may have acquired the names and other personal information of around 8,995 people, according to a required filing with Maine regulators.
