Regulator says most of the money was spent on improving regulatory functions and compliance by member firms.
SEC says firm did not have policies and procedures in place to prevent misuse of funds
The rule would create a second, non-fiduciary version of the term 'best interest.'
Bracing for more market volatility as negotiations between China and the U.S. heat up ahead of July 6 start of new tariffs.
Use your customer relationship management software to both segment and document clients more efficiently.
New York-based Rockline Wealth Management will use B-D and RIA platforms.
Futurity First was affiliated with Mutual of Omaha Investors, ProEquities, AXA and Cambridge.
Promotional flyer depicts the 'intimate relationship' advisers have with clients
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
The claimant's broker at UBS has 183 disclosures on his BrokerCheck report.
Kyusun Kim also allegedly falsified elderly customers' wealth to allow sales
