The guidance would give the five-member commission a foundation for determining whether to advance a proposal to raise investment-advice standards for brokers.
Firm signs on to broker protocol as it moves to make sure its name is more prominent in the eyes of top advisers.
NASAA's Rick A. Fleming says he's the man for the job, to flag retail investor concerns.
As Finra looks to make BrokerCheck more visible, youthful indiscretions come back to haunt some advisers.
Regulator says $5 million of investor money lost in tenancy-in-common deals, $9 million siphoned off by principals
Plus: Deutsche Bank shows its hand with World Cup bets, Wall Street fines are a cash cow for the Treasury Dept., navigating Social Security before you retire, and eating at home gets pricey in a hurry.
A quick questionnaire can let you know how you can improve and shows clients you care.
In a new comment letter, the industry group contends that the rule would create undue regulatory costs.
VoiP phones are tremendously flexible but not necessarily right for everyone.
Texas Tech University receives more than $6 million in annual software licenses for its next generation planners.
Supreme Court could agree to rule on one of many appeals cases by this summer, and largely clear things up.
All-seeing medical eye: Health care companies are buying big data to get a window into patients lives.
Report on women investors finds they are closing the financial literacy gap fast, but remain behind men in terms of confidence and knowledge.
Finra has withdrawn its controversial proposal that would have required brokers to tell clients about recruitment incentives. The move took industry watchers by surprise; some expect the regulator to float a new proposal.
On the <i>Breakfast with Benjamin</i> menu: Inflation data could turn doves into hawks. Plus: Oil could get a lot pricier in a hurry, insider trading runs rampant and SIFMA cuts its economic outlook.
Massachusetts' chief securities regulator Wiliam Galvin has asked Congress to force 401(k) plan disclosures, ratcheting up pressure to force transparency in retirement accounts.
Claiming after age 66 can result in retroactive benefits.
