A candidate for Finra's board of governors has launched what he calls a “dissident campaign,” asserting he will try to prevent the regulator from “antagonizing” members, especially independent broker-dealers.
Brokers have endorsed a move by Finra to toughen sanctions for violations of the suitability rule even as they acknowledged the standard leaves room for interpretation.
Replacing old or buying new software will cause you to question a lot of your assumptions, but it can also help you improve your business.
Currency-hedging ETF strategies are a no-brainer: Merrill Lynch portfolio manager
The recent cyberattack on Sony Pictures Entertainment holds lessons for Finra's pending data-collection proposal, SIFMA executive argues.
New share class dubbed a “T share” cuts upfront commission brokers are paid but creates an annual trailing commission.
Speculation about a takeover of Salesforce has some advisers reconsidering their customer relationship management system options.
The business is male-dominated, but some independent broker-dealers have come close to having 30% of producing female reps on staff. Here's a break down of the gender divide.
Breaking down how password managers actually work, plus details on three good options for advisers to consider
Ketchum dodges criticism over the regulator's data collection program, says 'it's still very early in the game.' <i>(Also: <a href="//www.investmentnews.com/section/video?playerType=INTV&bctid=3884369463001&date=20141110"" target=""_blank"" rel="noopener noreferrer">Incoming SIFMA chair worries about CARDS' cost, security</a>.)</i>
Potential security risk concerns over Finra's highly-debated data collection proposal are not unfounded, experts say. <i>(See also: <a href="http://www.investmentnews.com/article/20150504/BLOG07/150509984/finras-longtime-critics-become-its-supporters-and-vice-versa" target="_blank">Finra's backers are now its critics</a>)</i>
These firms boosted their businesses significantly between 2013 and 2014
Here's the key: Thinking through what happens in the event of a divorce, death or breakup.
Internal hacking is an emerging danger for advisers.
Snares abound for parents who are eager to take on additional debt in the name of sending their children to their dream school.
A new variation offers an option for saving for disabled children.
Inserting strong language into rules, such as that wiping clean a broker's record should only be considered 'an extreme remedy,' could give it more weight.
Nearly a quarter of retirees 85 and older are dying with assets of less than $10,000
<i>Breakfast with Benjamin</i>: Retail brokerages are shut out of the SEC's advisory committee for market reforms to protect retail investors.
Despite lackluster sales of commission-rich products, 2014 revenues grew in line with the broad market. What does 2015 have in store? </br><b><i>(Plus: <a href="//www.investmentnews.com/section/specialreport/20150426/IBD042015"" target=""_blank"" rel="noopener noreferrer">Our full Top Independent B-Ds of 2015 special report</a>)</b></i>
