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'We're not trying to change Reg BI or change the fiduciary guidance,' the SEC chair says at SIFMA's annual conference.
"We don’t agree with the decision but, with Finra arbitration, there is no appeal," says William H. McCance, president of Ages Financial Services.
The improvement demonstrates that the giant broker-dealer network, which many believe will seek to go public in the next few years, is moving its cash flow in the right direction.
The new module on the Black Diamond wealth platform comes with key features like a workflow manager and email integration.
Renaissance Benefit Advisors Group focuses on helping plan sponsors with their fiduciary responsibilities.
The bank saw stronger-than-expected client inflows of $22 billion in its wealth management business, including $3 billion at Credit Suisse's unit.
New solution will enable asset managers to empower small-balance IRA holders.
'Finra provides essential services ... thousands of firms, hundreds of thousands of registered persons, and millions of American investors rely upon,' the North American Securities Administrators Association says in a brief.
The settlement with Baird stems from Finra's 2020 targeted examination regarding rights of reinstatement.
Georgia-based GER Loftin Wealth Advisors oversees $225 million in client assets.
People who claimed Social Security early and now regret it have two opportunities to reverse that decision.
Rita Robbins, the 2023 recipient of the Alexandra Armstrong Award for Lifetime Achievement, founded Affiliated Advisors 30 years ago, a ground-breaking move in a career that has created new opportunities for women.
The president's deal in describing a few bad apples risks tarring the whole industry with the same brush.
$2.1B firm is part of Northwestern Mutual's Private Client Group.
The Secure 2.0 Act will let employers add emergency accounts for workers next year, and fintechs are gearing up.
'It’s a devastating award, or lack thereof, for the claimants and a massive victory for Raymond James,' says an attorney not involved in the case.
The Sanford, North Carolina-based firm oversees $1.3 billion in assets.
"Perry is a very talented, sharp person, who's been bumped up from recruiter to head of a region to leading a division," says one industry executive.
'My suspicion is that if [Scott’s bill] passes, then the number of Main Street investors who are sold an unregistered security will far exceed the number of Main Street investors who actually go looking for such a product,' an advisor says.
