Finra does not require its members to carry insurance, which lets big risks to investors materialize.
Some retirement plan record keepers resort to aggressive sales tactics with their proprietary products, offering discounted record-keeping services if proprietary funds are used. </br><i><b>(More on plan advice: <a href="//www.investmentnews.com/article/20160327/BLOG09/303279999/how-to-choose-a-plan-sponsor-partner-to-adapt-to-dol-fiduciary-rule"" target=""_blank"" rel="noopener">How to choose a plan-sponsor partner to adapt to DOL fiduciary</a>)</b></i>
Shrinking the pool of muni sellers does not help investors
<i>Breakfast with Benjamin</i> In the wake of the March launch of the SPDR SSGA Gender Diversity Index ETF (SHE), out rolls the Bloomberg Financial Services Gender Equity Index.
How do you make sure that your nest egg will provide for you not only in your 70s and 80s, but into your 90s and beyond?
Brokerage representatives will be able to breathe a little easier when they're buying gift baskets for fellow professionals during the next holiday season.
Unmarried couples can now deduct effectively twice as much of their mortgage and home interest on their tax returns.
One-year anniversary shows lots of effort to calm nerves, rebuild investor trust.
Divorce filings drop in April and don't spike again until August &mdash; after July, the most popular month for vacations.
Broker-dealers may take cue from Wall Street maneuvers as regulatory pressure builds.
Trend toward low-cost passive mutual funds will reduce margins.
The prospect of living unhappily ever after in a retirement that can last 20 or 30 years or more is one reason behind the growing incidence of divorce among spouses age 50 and older.
The firm allegedly failed to provide about 2,700 customers waivers tied to upfront sale charges
If you're a real estate investor who wants to buy low and sell high, this is the list for you.
Preferred Apartment Communities Inc. is selling nontraded preferred shares to help fund its growth, giving brokers a 7% commission.
While the system provides access to up-to-date and accurate information on an adviser's record, it also publishes mere accusations, convenient settlements and decades-old misdemeanors.
The agency is scrutinizing ETFs because of instances of sharp volatility, and has launched an initiative to evaluate how mutual funds can better inform investors about costs.
New regulation was catalyst for broker-dealer to impose uniformity, says LPL Financial's Mark Casady.
He will begin Aug. 15, at about the same time Robert Cook, a former division director at the SEC, takes over as chief executive.
