Brian McIntyre says Finra laid off mostly older workers after it lost a regulatory contract with the NYSE in 2016.
Securities Industry Essentials general knowledge tests begin Oct. 1, but there's still little awareness among the public about the opportunity.
Rothification, which set off a furor in 2017 as Congress debated tax reform, could find its way into new bills next year, experts say.
But advisers say they don't see using apps like Zelle or Venmo to collect client fees.
Massachusetts securities czar says insurer's failure to make pension payments enabled it to lower reserves
A revocable trust with a co-trustee might have averted the former astronaut's battle with two of his children.
Firm will also pay $1.1 million in restitution after SEC finds improper sales of market-linked securities.
Basically, the legislation would create simplification.
Robo-adviser cited for violating customer protection rule and not maintaining its books and records correctly.
James Hocker took money from 25 mostly elderly, unsophisticated investors.
If the presidential election had gone the other way, the Labor Department would have overcome the regulation's legal challenges — or at least still be in the fight.
'Buckets of Money' adviser Raymond Lucia is entitled to a new hearing, court rules.
The 5th Circuit Court of Appeals issued a mandate Thursday making its March 15 decision to strike down the regulation effective.
Developers demonstrated real-life use cases showing how firms can deploy the next-gen technology.
Reps. Maxine Waters, Carolyn Maloney express concerns that measure is too weak.
The rule regulated what was already happening within the defined-contribution industry anyway.
But it could give rise to new hearings for some advisers who are already in litigation with the agency such as Dawn Bennett.
Lawsuit claims insurers 'betrayed' thousands of pension plan participants and beneficiaries.
Morningstar report: Lack of data on fees, investments makes advice on rollovers costlier and more challenging for investors.
Bank claims Gabriel Campbell took confidential client information
