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
Executive has served as the chair of the SEC, Finra and the CFTC
Kyusun Kim also allegedly falsified elderly customers' wealth to allow sales
The claimant's broker at UBS has 183 disclosures on his BrokerCheck report.
That depends on whether it has the cash and determination to pull the trigger on what could be a billion-dollar deal.
Kloman, currently the firm's CFO, will succeed Rich Hunter by year-end
The record keeper joins some other big competitors in offering participants their money back if their accounts get hacked.
Arbitration panel says firm failed to supervise former broker's unsuitable transactions.
Brian McIntyre says Finra laid off mostly older workers after it lost a regulatory contract with the NYSE in 2016.
Cresset Capital Management is adding a family office to its 1-year-old practice.
Rothification, which set off a furor in 2017 as Congress debated tax reform, could find its way into new bills next year, experts say.
But advisers say they don't see using apps like Zelle or Venmo to collect client fees.
Securities Industry Essentials general knowledge tests begin Oct. 1, but there's still little awareness among the public about the opportunity.
Affluent clients are confident about retirement plans, but not medical expenses
Plaintiffs charged that BofA lent the scheme an air of legitimacy and provided critical support.
The firm notified brokers that new clients can choose whether or not to allow advisers to take their information with them if they leave the firm.
UBS exec Richard Steinmeier will replace Bill Morrissey, who is retiring after a number of LPL recruiters jumped ship.
Cerulli analyst says 401(k)s reliant on capital market returns, whereas IRAs are popular rollover vehicles.
Massachusetts securities czar says insurer's failure to make pension payments enabled it to lower reserves
