SIFMA, Republican senator take issue with requiring Finra to set up fund to pay claims.
Third Seven Advisors leverages its own investment bank
Momentum stocks bear the brunt of the selling.
The 2008 crisis left investors focused on income vehicles that provide reliable returns.
He prevails over a candidate backed by Finra's board to fill one of three large-firm positions.
In this J.D. Power survey, advisers rated their firms on qualities such as client support, compensation and firm leadership.
Russell 2000 index of small-cap stocks has underperformed global equities three days in a row
Kloman, currently the firm's CFO, will succeed Rich Hunter by year-end
That depends on whether it has the cash and determination to pull the trigger on what could be a billion-dollar deal.
The record keeper joins some other big competitors in offering participants their money back if their accounts get hacked.
Rothification, which set off a furor in 2017 as Congress debated tax reform, could find its way into new bills next year, experts say.
Securities Industry Essentials general knowledge tests begin Oct. 1, but there's still little awareness among the public about the opportunity.
Cresset Capital Management is adding a family office to its 1-year-old practice.
But advisers say they don't see using apps like Zelle or Venmo to collect client fees.
Affluent clients are confident about retirement plans, but not medical expenses
Plaintiffs charged that BofA lent the scheme an air of legitimacy and provided critical support.
The firm notified brokers that new clients can choose whether or not to allow advisers to take their information with them if they leave the firm.
Cerulli analyst says 401(k)s reliant on capital market returns, whereas IRAs are popular rollover vehicles.
UBS exec Richard Steinmeier will replace Bill Morrissey, who is retiring after a number of LPL recruiters jumped ship.
Massachusetts securities czar says insurer's failure to make pension payments enabled it to lower reserves
