SIFMA, Republican senator take issue with requiring Finra to set up fund to pay claims.
Momentum stocks bear the brunt of the selling.
Third Seven Advisors leverages its own investment bank
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.
In this J.D. Power survey, advisers rated their firms on qualities such as client support, compensation and firm leadership.
He prevails over a candidate backed by Finra's board to fill one of three large-firm positions.
Executive has served as the chair of the SEC, Finra and the CFTC
CFP Board, FSI oppose new law prohibiting use of terms "certification" or "registration" for credentials not approved by state.
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
The claimant's broker at UBS has 183 disclosures on his BrokerCheck report.
That depends on whether it has the cash and determination to pull the trigger on what could be a billion-dollar deal.
Kyusun Kim also allegedly falsified elderly customers' wealth to allow sales
Arbitration panel says firm failed to supervise former broker's unsuitable transactions.
Brian McIntyre says Finra laid off mostly older workers after it lost a regulatory contract with the NYSE in 2016.
The record keeper joins some other big competitors in offering participants their money back if their accounts get hacked.
Securities Industry Essentials general knowledge tests begin Oct. 1, but there's still little awareness among the public about the opportunity.
Rothification, which set off a furor in 2017 as Congress debated tax reform, could find its way into new bills next year, experts say.
Cresset Capital Management is adding a family office to its 1-year-old practice.
