Some optimistic, others skeptical about plan to scrap the automatic per-share value of $10.
Department wants to make sure investors are protected when given more latitude in picking investments .
High Risk Broker initiative led to "concentrated effort" and "material results," Finra CEO wrote in letter to Sen. Edward Markey, D-Mass.
How much do wholesalers know about advisers? And what are they telling the competition?
Sheryl Rowling dishes on how technology helped her firm managed through a recent examination by the Securities and Exchange Commission. It made a difference.
A new SEC plan to target advisers who have never undergone formal compliance examination is drawing support from advisers.
President Obama's voluntary '"myRA" proposal, with no option to invest in stocks, could be doomed to failure, advisers say. The plan "isn't going to go anywhere," according to one skeptic. <i>(Don't miss these <a href="http://www.investmentnews.com/gallery/20140123/FREE/123009998/PH" target="_blank">tips for a worry-free IRA rollover</a>.)</i>
Two companies filed this week, seeking funds that don't report daily.
Advisers should spend more time vetting private-placement funds and their managers, commission says.
They're a great way to save on federal taxes, but state treatments differ widely.
Don't move funds based solely on the word 'free,' regulator says.
State regulator charges Jordan Belfort disciple with engaging in abusive sales practices, churning a client's account and using markups to conceal commissions in the account of an 81-year-old investor.
The storied chief executive of the now-defunct Wall Street brokerage John Thomas Financial Inc. continues to face an open Financial Industry Regulatory Authority Inc. fraud complaint that he bullied brokers, lied to senior staff and intimidated colleagues in his pursuit of penny stock riches.
Chances of substantial overhaul slim to none; lip service
Finra OKs a plan requiring brokers to disclose recruitment compensation when they switch firms. Chief executive Richard Ketchum says the decision shows its commitment to transparency.
Financial planners share their concerns and actions for mitigating a slow-growth economy and the general trend of wage stagnation.
While the differences between registered investment advisers and the independent broker-dealers are certainly real, all of us in this industry benefit when we pull together to represent our common interests in our interactions with regulators, according to FSI's Dale Brown.
New commissioner complains he was not given enough time to review a new rule.
Finra plans to crack down on potential conflicts of interest that could affect brokers when they roll over a client's company retirement plan into an individual retirement account.
