An industry vet pitches ideas to Finra brass on how regulators and reps can work together to protect investors and create more streamlined and efficient compliance for advisers. Imagine that.
Five years after the financial crisis, financial advisers need to do some soul searching and ask themselves, now that the smoke has cleared, what lessons have been learned?
Tools intended to improve lobby's advocacy efforts and collaboration members.
Big incentive packages and adviser frustration mark new momentum as turnover picks up.
Firm could fetch more than $50M from likes of E*Trade, TD Ameritrade, Scottrade.
