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.
Economist predicts weakness, slow growth will persist in world markets
Uneven recognition of same-sex marriage will make for a complicated tax year.
Don't celebrate just yet: financial planning pitfalls still abound.
Multiple compliance problems at the clearing firm, which serves about 86 correspondent broker-dealers, has led to an agreement to pay a $1M fine as part of a settlement with Finra.
Every day with no rule puts investors at risk, commission member says.
New York State Supreme Court justice reversed a Finra panel's decision in favor of an investor.
Today's Breakfast with Benjamin features BlackRock's settlement with the N.Y. attorney general. Plus: Stock futures looking up, activist hedge funds rock, a look at 4Q earnings, the myth of cybersecurity, retirement mistakes to avoid and the upside of office relationships.
Annual list of priorities has old favorites as well as some new areas of concern.
Exam chief Jane Jarcho gives tips on what advisers can expect.
Legislation exempts from SEC registration small-business M&A brokers.
Vanguard founder calls on the SEC and DOL to 'put the principle first and the carve-out second.'
The Securities and Exchange Commission is pursuing a rule that would raise investment-advice standards for brokers — just not in the near future. But that's enough to give fiduciary-duty advocates hope.
Implemented policy change forcing some defendants to admit wrongdoing in settlements.
Today's Breakfast with Benjamin includes: Goldman's stock market call, a closer look at Fed policy, lawyers pick apart Volcker rule, retailers and cyber security, combining IRAs, and how not to ignore your client's wife.
