Various compliance consultants think advisors and clients alike would benefit if state regulators were playing from the same rule book as federal watchdogs when policing firms' marketing statements.

'There seems to be a little more detail in the Finra rule about the guardrails on the use of the projections,' a compliance lawyer says. By Mark Schoeff Jr. A Finra proposal on performance advertising ...

Rhode Island state regulators are opposing a proposal from Bally’s they say would see the state fork over millions more a year to the casino company. The Department of Revenue claims the plan, using ...