Finra boss says advisers should be acting ahead of rule change by SEC; customers' best interests paramount
State securities regulators are warning investors to be careful about peer-to-peer lending over the Internet, a trend that they say is on the rise as conventional loans have become scarcer and more costly
GOP budget cuts could end up declawing financial reform, the SEC boss warns
The new chairman of a House subcommittee with jurisdiction over investment adviser issues is holding his fire on two crucial questions effecting the industry — until he reads upcoming reports addressing the topics.
College planning is one area where financial advisers can really stand out from the crowd
College savers are flocking to 529 plans that offer principal protection. But critics says investors in these structured products are likely to come up short when tuition time arrives.
Retirees with less than $50,000 in their individual retirement accounts may not have to take required withdrawals under President Barack Obama's proposed budget.
Industry observers are worried that a new Finra reporting rule — set to go into effect July 1 — could open up brokerage firms to enforcement actions.
Affluent clients of two large financial services companies converted billions of dollars held in conventional IRAs to Roth IRAs in 2010, particularly at the end of the year
Senate memo asks regulators to slow down implementation of Dodd-Frank; single standard of care biggest concern
Most business came to a halt throughout the Midwest two weeks ago when a massive blizzard forced workers to take a snow day, but financial advisers said they were good to go
Summary prospectuses for variable annuities are supposed to help consumers make informed decisions about buying these complicated investments
Zephyr Associates Inc., probably best known to financial advisers for its StyleAdvisor and AllocationAdvisor products, is now providing a free peek at separately managed accounts performance analytics
The Financial Industry Regulatory Authority Inc. won't be nominating candidates for a small-firm seat on the board in its election this year.
The Charles Schwab Corp. has come out against the idea of creating a self-regulatory organization for advisers.
Providing scalable high-tech, high-touch financial advice to the mass affluent has been a goal of adviser entrepreneurs since the days of MS-DOS. While the technology and knowledge certainly exist to make it happen, doing so successfully and profitably thus far has been elusive.
National Financial Services Corp., Fidelity Investments' clearing arm, today announced some substantial enhancements to its Streetscape web-based brokerage workstation.
With margins shrinking, broker-dealers closing and financial- reform legislation looming that could change the industry's economics, clearing firms more than ever are counting on technology.
Finra warns about slew of pump-and-dump schemes aimed at milking disaster in Nippon
