Corporate bellwether's move to annual lump sum match seen as coming attraction; new planning required
McHenry claims SEC boss' concern about legacy has stalled bi-partisan private placement proposal
Just a week since the acquisition was finalized, RJ announces appointments and promotions
After months of speculation, Regions Financial finally sells Morgan Keegan. The price tag? A whopping $930 million. The buyer? Raymond James.
The back-and-forth touched off by NAPFA's announcement last Tuesday to go all-CFP next year highlights the fact that after decades of discussion and debate, the financial advisory business is still struggling to define itself.
Proposal would have hiked continuing-education requirements for registrants; no shortage of comments.
Brokers at Edward Jones are being asked to sign a new employment contract. While the agreement is not new, the tough wording has caught some reps by surprise.
Full disclosure on recruiting packages? Bring it on!
A potential proposal by Finra requiring reps to dislose their recruitment incentive to clients is drawing decidedly mixed reviews. Dan Jamieson reports on the reaction.
