Lobbying group for independent broker-dealers lays out its annual agenda
Size of award called "extraordinarily rare" by one securities attorney. <i><b>(More: <a href="//www.investmentnews.com/article/20160923/FREE/160929957/brokerages-walking-away-from-arbitration-awards"" target=""_blank"" rel="noopener noreferrer">Brokerages walking away from arbitration awards</a>)</i></b>
Bank's wealth management unit reports higher earnings on lower revenue.
DOL rule could prompt some advisers to move ahead of time &mdash; and others to stay put until they gauge rule's impact.
Calling it a "disaster," he claimed it has been responsible for cutting off loans to small businesses.
Firm's 7,100 advisers to gain digital investment advice platform and advanced analytics about clients
Data analytics could help them more easily uncover breaches of suitability in investment product sales.
Markets have risen since the president was elected, but his personality makes it difficult to discern when he is serious and when he is beating his drum for effect.
Advisers who don't assist with compliance are at risk of losing clients.
Not every adviser can be nominated for a Bully, just those who displayed a complete disconnect from their ethics in the course of impersonating a client or some big shot.
Insurers are speeding up their closures of L-share products as regulators crack down, but are quickly introducing new fee-based contracts.
Donald Trump has proved he can move stock prices on a whim, but it's his stance on trade that might be of greater importance to investors.
New Fidelity report calculates 104 deals last year compared to 138 in 2015, partially due to growing gaps between what buyers are willing to pay and what sellers are seeking.
The firm will make “many” of the pricing and product design changes it planned last year, according to a memo sent to employees.
Ms. Warren said she received a “page not found” error this week when she tried to access a site set up to track complaints from the bank's employees.
This strategy is not going away with the rule changes authorized by the Bipartisan Budget Act of 2015.
Advisers said the prospect of lower income tax rates poses an opportunity to recommend employers add a 401(k) Roth feature, and discuss the benefits of Roth deferrals and conversions with employees.
Regulator should assess whether requirements on the books &mdash; including for advertising, custody &mdash; are working, and just generally slow down, according to advocates for the profession and industry.
