Twitter followers respond to the candidates' positions in the final presidential debate before the Nov. 8 election.
System doesn't include reasons for advisers' employment termination and other details public needs before deciding who to hire, a new report found.
Measure requires brokers to establish trusted contacts on accounts and allows them to stop distributions in questionable circumstances.
Broker-dealers can try shielding themselves from risk as much as possible, but lawsuits are inevitable and could prove difficult to defend, attorneys said.
Industry conversation is now turning to the regulation's impact on M&A activity.
Bonuses were tied to getting clients to open loan accounts, which went against the firm's internal prohibition on such initiatives. <b><i>(Related read: <a href="http://www.investmentnews.com/article/20161003/FREE/161009986/former-morgan-stanley-broker-barred-for-unauthorized-borrowing-from" target="_blank">Former Morgan Stanley broker barred for unauthorized borrowing from clients</a>)</b></i>
Winston Wade Turner misrepresented facts in high-cost annuity transactions.
State launches a sweep of 241 firms with above-average numbers of brokers with misconduct reports on their records.
Regulator is using advanced data analytics to find the bad seeds who can undermine a firm's culture and foster 'good people making bad decisions,' the Finra chief says.
Plus: Advising the Fed to tread lightly toward higher rates, the best ETFs for a cash-heavy market, and these bloggers will make you a better blogger
Vanguard and BlackRock get biggest inflows.
Skybridge Capital executive's outspoken comments &mdash; including a comparison to the 1857 Dred Scott decision &mdash; sparked a debate on social media.
The firm will announce details of its strategy to comply with the DOL fiduciary rule in the next two weeks. <b><i>(More: <a href="http://www.investmentnews.com/section/fiduciary-focus" target="_blank">The most up-to-date information on the DOL fiduciary rule</a>)</i></b>
Advisers can improve client outcomes and make their own lives easier by practicing one or two new techniques.
Many plans don't offer annuities, and those that do see little participant uptake, but more regulatory clarity, better products and heightened interest will likely lead to greater prevalence.
The Skybridge Capital executive says the regulation diverts too much capital into low-cost passive funds, and he compares it to the 1857 Dred Scott decision. <b><i>(More: <a href="http://www.investmentnews.com/article/20160925/FREE/160929970/hillary-clinton-vs-donald-trump-who-are-you-voting-against" target="_blank">Hillary Clinton vs. Donald Trump: Who are you voting against?</a>)</b></i>
The best practices program will require advisers to charge reasonable fees and disclose them.
The custodian and clearing firm is quietly building an offering of digital advice integrations it offers its clients.
Plus: Congress paves the road to becoming filthy rich, NextShares gains traction, and banking on a Clinton victory
Fourth annual awards program recognizes firms for excellence in practice management, financial performance.
