In effort to boost next gen ranks, industry also needs to dispel 'Wolf of Wall St.' perception, Fidelity study finds.
As Finra looks to make BrokerCheck more visible, youthful indiscretions come back to haunt some advisers.
Regulator says $5 million of investor money lost in tenancy-in-common deals, $9 million siphoned off by principals
In a new comment letter, the industry group contends that the rule would create undue regulatory costs.
Texas Tech University receives more than $6 million in annual software licenses for its next generation planners.
Supreme Court could agree to rule on one of many appeals cases by this summer, and largely clear things up.
You and your organization can have a lifetime of impact with just a fraction of your day.
Less than 19% of senior executives in the financial services industry are women. What do women need to do to improve those statistics?
Finra has withdrawn its controversial proposal that would have required brokers to tell clients about recruitment incentives. The move took industry watchers by surprise; some expect the regulator to float a new proposal.
Answering the question about whether the CFP Board should adopt a less rigorous “fee only” definition.
Financial planning and advice firms recruit women less, hire them less often and pay them less than men, a new report from the Certified Financial Planning Board of Standards found.
Advisers wanting to work with LGBT clients will have to stay current on the changing state laws and realize how their clients' residences can shape their retirement and estate planning.
What does it mean to be connected? A new list scientifically ranks the people who have the networks and the ability to get things done.
Finra trimmed its operating loss last year, helped by a modest increase in revenue, but compensation and benefit costs continued to eat up a chunk of the SRO's funds. After eking out a slight net income gain, Finra set a rebate to member firms.
Finra kicks out a former Raymond James broker who allegedly stole $3 million from 13 clients. Mason Braswell reports.
The acquisition is aimed at bolstering the firm's market presence in unified managed account services.
Sometimes it's necessary to move people to uncomfortable places to give them the best financial help possible.
