Table of Contents

Issue Date: April 16, 2014


Is Finra pulling its efforts
to be the SRO for advisers?

By Mark Schoeff Jr.

Despite Finra's denials (including one from CEO Richard Ketchum just last week), some believe the regulator still wants to be the SRO for advisers.


Finally, some social-media ground rules

The SEC's move to define customer review ground rules is good but raises important and difficult questions.

SEC turns gaze to municipals

Scrutiny is welcome as muni bonds have long been a choice vehicle for tax-free income.

IRA Alert

Investment Strategies

News for Financial Advisers

  @IN Wire

Apr 16 10:24AM
Same-sex couples face a need for new tax strategies after weathering a tough filing season
Apr 16 10:17AM
Worth Watching

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