Commission tells JPMorgan securities unit not to do what it told it not to do two times before; third time's the charm?
Bank aims to attract clients by requiring lower minimums on investable assets than rivals
Connecting with clients and prospects on an emotional level — not merely meeting with them — is more important than ever
Morgan Stanley Smith Barney will let its nearly 18,000 financial advisers market themselves and share ideas with clients through LinkedIn and Twitter, which will allow for a 'a significant competitive advantage' according to one top exec.
Reactions to the Certified Financial Planner Board of Standards Inc.'s new requirements for ethics continuing-education programs have been mixed
Naysayers aside, the CFP's TV ad campaign, part of a new national public-awareness effort, is just the message the retirement-nervous need to see right now.
Pershing executives are warning about a bevy of new regulations and legislation that may blindside some B-Ds and RIAs
Independents are doing most of the deals; difficulty expanding business organically
Both the SEC and Finra have issued an alert about popular structured notes that claim to protect investors' principal. The problem? The notes don't always protect investors' principal.
But some say latest economic data not as bad as it seems; market mispricing could be buying opportunity
Meredith Whitney's at it again. The controversial analyst is now predicting a 'waterfall' of muni downgrades which will trigger a massive sell-off by insurers. If she's right, investors may be able to pick up some bargains in the process.
Municipal-bond dealers failing to adequately disclose the risks of debt they handle should expect more disciplinary action, said Malcolm Northam, senior director of member regulation at the Financial Industry Regulatory Authority.
Michael Oxley, the former congressman who co-wrote the Sarbanes-Oxley Act of 2002, has registered as a lobbyist for Finra to promote its campaign to become the self-regulator of investment advisers
DC plan makes decisions for plan participants, nags them when they're not saving enough; Nobel laureate Merton one of the designers
Some employees in top bracket could face 15% reduction in account balances; lower-paid likely down 10%
Neuberger Berman minds client relationships with newly hired trio of defined-contribution wholesalers; asset gathering to come.
Last week saw the sixth consecutive weekly loss for the stock market, with the S&P500 now down 6.8% from its late-April peak.
If “big,” “strong” and “mysterious” are the attributes you want for a financial brand, you can't pick a better name than BlackRock Inc.
If so, auto-enrollment plans make a lot of sense
Custody firms are engaged in a delicate balancing act, trying to accommodate a growing number of alternative investments while at the same time implementing stricter eligibility criteria for accepting those assets
