Board members point to SEC's elevation of issue as a top priority.
Plans to help Edgerton & Weaver, which specializes in representing B-Ds, RIAs and registered reps, build its consulting business.
Founder of Garrett Planning Network says investors with low net worth can be served in a market where all advisers must act in their best interests.
Despite Finra's denials (including one from CEO Richard Ketchum just last week), some believe the regulator still wants to be the SRO for advisers.
CEO bows in apology to Japanese customers; possible theft of 850,000 units.
Coalition asks for meeting with Labor Secretary Thomas Perez.
Chief architects call plan imperfect but say it will provide economic certainty, help heal wounds.
The president of the North American Securities Administrators Association discusses what the financial industry needs to do to rebuild client trust.
Regulator's CEO says chances of success are thin but agrees that adviser oversight needs improvement.
Finra to look at how firms sell annuities, REITs and other products to older clients.
A new initiative has the regulator looking at private placements more closely and in real time.
Advisers working in bank branches alleged that the firm misclassified them to avoid paying for time beyond the traditional 40-hour workweek.
David Einhorn, manager of the $10 billion Greenlight Capital Inc., said he found a recent dinner conversation with former Federal Reserve chairman Ben S. Bernanke scary.
It took Michael Piwowar only 34 days to make his presence felt at the SEC while in her initial statements, Kara Stein was low-key. Mr. Piwowar's truculence surprised observers who had expected that his arrival, and that of Ms. Stein, would bring together a previously divided commission. Mark Schoeff Jr. explains.
ETF investors say BlackRock keeps too much of the proceeds from securities-lending business.
A Finra arbitrator who served on Finra panels for almost 15 years was removed after it was discovered that he is not a lawyer. He oversaw more than 40 cases. Were yours among them?
If approved, the Finra rule would require brokers who receive more than $100,000 in incentive compensation to notify clients in writing; some say it could chill recruitment.
