Results for "compensation and staffing"

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September 15, 2013

Finra could act this week on a rule that would force brokers to reveal recruiting incentives to their clients, but the controversial regulation may undergo some changes on its way to final approval. The Financial Industry Regulatory Authority...

Changes expected as Finra weighs controversial broker-comp rule

September 13, 2013

Finra could soon act on a rule that would force brokers to reveal recruiting incentives to their clients, but the controversial regulation may undergo some changes on its way to final approval. The Financial Industry Regulatory Authority Inc....

Finra board to tackle broker comp rule next week

September 11, 2013

The Financial Industry Regulatory Authority Inc. next week plans to consider a revised proposal that would require brokers to disclose the compensation they receive when switching firms. The item is on the agenda for the Sept. 19 meeting of...

Groups try to define a fee-only adviser

September 8, 2013

Financial planning groups will try to mend a rift over how to determine who is a fee-only investment adviser at a meeting in Chicago this week. The gathering of the leadership of the Financial Planning Coalition is not being convened specifically...

Morgan Stanley nabs $1.5B J.P. Morgan team

August 27, 2013

Morgan Stanley has landed a $1.5 billion team from J.P. Morgan Securities LLC in the latest in a series of high-profile, late-summer acquisitions. Scott Siegel, a Barron's top 1,000 adviser, and his team of Mehmet Kirdar, Michael O'Hara and...

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