The rule would create a second, non-fiduciary version of the term 'best interest.'
SEC says firm did not have policies and procedures in place to prevent misuse of funds
Use your customer relationship management software to both segment and document clients more efficiently.
Promotional flyer depicts the 'intimate relationship' advisers have with clients
SIFMA, Republican senator take issue with requiring Finra to set up fund to pay claims.
Rule is expected to give exchange-traded funds a boost, but complex products wouldn't be eligible for the streamlined process
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.
CFP Board, FSI oppose new law prohibiting use of terms "certification" or "registration" for credentials not approved by state.
Executive has served as the chair of the SEC, Finra and the CFTC
Brokerage veteran will help content marketing company develop new services.
The claimant's broker at UBS has 183 disclosures on his BrokerCheck report.
Kyusun Kim also allegedly falsified elderly customers' wealth to allow sales
Arbitration panel says firm failed to supervise former broker's unsuitable transactions.
The record keeper joins some other big competitors in offering participants their money back if their accounts get hacked.
Brian McIntyre says Finra laid off mostly older workers after it lost a regulatory contract with the NYSE in 2016.
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.
But advisers say they don't see using apps like Zelle or Venmo to collect client fees.
