The average compensation for Finra's 3,400 employees last year was nearly double that of the average worker on Wall Street. Bruce Kelly takes a look at the numbers. <i>Plus:</i> <a href="//www.investmentnews.com/article/20140620/FREE/140629985"" target=""_blank"" rel="noopener noreferrer">Finra trims operating loss but comp costs climb</a>
Rules have changed the investment industry fundamentally by creating the position of CCO and requiring a written compliance program.
The firm is teaming up with Fidelity to transition around 100 firms.
Young advisers need to demonstrate 'fire in the belly'
Rep. Scott Garrett, the chairman of a House Financial Services subcommittee, calls Finra's data-collection proposal 'costly and burdensome.'
Recent investigations of Pimco's Total Return Bond ETF and church bonds highlight the need to investigate an investment's truest price.
Three steps to take to help clients understand their financial situation and investment strategy options.
With Republicans leading the House and Senate next year, the possibility of some reforms to the Affordable Care Act are possible. The rules around the employer mandate seem to be those most likely to find compromise within the Congress and at the White House.
Initiative will help educate advisers about recruiting women, young people and minorities.
Today's <i>Breakfast with Benjamin</i> on hedge funds owning $16 billion in Puerto Rican muni bond debt, the scary similarities between advisers and psychics, why deep-water drilling looks like a bargain, and more.
<I>Breakfast with Benjamin:</i> Quicker rate hike ahead? Plus: Top Republicans set agenda; greed, fear and fund flows; family offices riding growth of ultrawealthy; Schwab says its robo is no threat; and eating well after work.
Commonwealth Financial Network's managing principal of practice management provides practical guidelines to help you embrace the role of CEO in your business.
Advisers charging AUM fees while offering garden-variety investment management services need to reassess their business model and determine what else of value they can provide
As retirees draw down assets, advisers must hire minorities and women to capture future wealth.
The shrinking shortfall buys time for lawmakers to solve entitlement crisis
RCS Capital seeks to pull out of a $700M deal to acquire two Cole companies from American Realty Capital Properties, which last week <a href="//www.investmentnews.com/article/20141029/FREE/141029902/nicholas-schorsch-downplays-arcps-23m-accounting-debacle"" target=""_blank"" rel="noopener noreferrer">revealed a $23M accounting error</a>.
Investors pulled billions from his former mutual fund, Pimco Total Return, upon the news of his departure.
