Regulator would also cross-check broker disclosures against public court documents.
John Cronin will oversee supervisors in the Northeast; 'it's like hiring an IRS guy to be your CPA.'
MF Global Inc., the defunct brokerage once led by Jon Corzine, will begin final distributions to satisfy $6.7 billion in claims from former customers, starting tomorrow and lasting several weeks, the trustee overseeing the repayments said.
At its board meeting, the regulator put out for public comment changes to how firms link to its BrokerCheck database. It also backed changes to how it defines arbitrators and moved to prohibit firms and brokers from putting conditions on settlements.
But there's plenty of resistance from plan sponsors
Still wary of being accused of conspicuous consumption, the wealthy are paying for high-end experiences and access to celebrities, professional athletes and exclusive events.
T. Rowe Price's Christine Fahlund puts theories to test.
Agency to enforce one IRA-to-IRA rollover every 365 days rule despite earlier interpretation.
Gauging the value of your online presence, in particular efforts around a web site, social networking and blogging, can be a moving target. One of the top questions heard regularly is “How do I know if this is working for me?”. The answer lies in large part in analytics.
Wall Street leaders including Lloyd Blankfein and James Gorman, who have courted business in Vladimir Putin's Russia, are facing a dilemma as tensions over Ukraine escalate.
Stocks, bonds and commodities rose together in February for the first time in seven months, reversing January's losses. The S&P 500 is at a new all-time high. So who's panicking now?
Privacy and security are recurring and critical themes in our ever-expanding digital and social-media landscape. Addressing this topic and tasks head on will vastly increase your safety online, enabling you to engage with your clients and connections more securely, as well as boosting your compliance program even further.
Joins Cetera CEO Valerie Brown in ranks of women running top broker-dealer networks.
Larry Roth splits Advisor Group to join Nick Schorsch's B-D, marking the latest step in American Realty Capital's expansion beyond nontraded REITs. Bruce Kelly has the story.
Course covers finer points of Windfall Elimination Provision calculations, but needs more emphasis on claiming strategies.
But a credit freeze could complicate the sign-up process.
If you found yourself reeling from this year's number, take steps now to avoid a repeat. Especially for entrepreneurs, quarterly payments are key.
Rollovers used to be the 'Wild West' of regulation; now advisers need to watch out for new rules
SEC member Luis A. Aguilar discusses how the regulator is helping to foster improved ethics and responsibility.
