One of several tax extenders the committee will take up Thursday.
Match 'made in heaven' says president of WRP, which has 350 reps and had $48 million in gross revenue in '13.
Regulator still reviewing industry comments on rule to give investors better handle on share values.
Wells Fargo is testing new models that would pay on a salary plus commission basis in effort to attract Millennials
At its board meeting, Finra approved background checks for brokers and plans to consider requiring new information such as exam scores on BrokerCheck.
<i>Breakfast with Benjamin:</i> Brokers pouncing on 401(k) biz. Plus: The Clintons dodge the estate taxes they support. The Fed wants to add exit fees to bond funds, U.S. banks on the edge of new funding rules, Congress mulls investor confidence on your dime, El-Erian sides with the IMF, and merger mania is alive and well.
After firing James Holbrook Jr. in May, the regional brokerage alleges the former chief executive used corporate credit cards for personal expenses and company resources on sporting events.
Recent history shows that connecting with legislators in Washington is time well spent.
Independent B-D spends $8.8 million to resolve litigation prior to acquisition by RCS Capital.
Nick Schorsch's RCS Capital is building the second-largest independent broker-dealer network &mdash; 9,000 registered reps and financial advisers &mdash; through several acquisitions it announced last year.
Nick Schorsch has been snapping up B-Ds with the fervor of Carrie Bradshaw from “Sex and the City” chasing down her next pair of Manolo Blahniks. But with J.P. Turner, is the firm's stock-jockey history a problem or did Nick buy a gem at downtown prices?
Introducing 'the law of 1,920' to underline that advisers' income is completely dependent on where they spend their work hours in a year
Both SIFMA and FSI cautious about Finra proposal to strengthen its database.
Bruce Kelly reports about Meyers Associates, a small New York broker-dealer with five times the industry average of registered reps with marks, or 'disclosure events' on their record.
The Internet has changed the game but decades-old scripts still lure investors
Houston radio host George Jarkesy charges the regulator denied him due process in a fraud case.
Broker-dealer using proceeds, in part, for pending acquisitions and possible new ones.
Firm to offer another way besides public listing for REIT sponsors to provide liquidity to investors.
