Congress won't act until the new year, planner predicts, then will turn back the clock
U.S. protocol credited with reducing litigation from adviser hiring
Clearing firms used by the independent broker-dealers with the most revenue
Rally in bank stocks pushes share price of Berkshire to 13-month high
Judge grants status in high-profile case; baton handed to Prudential
Corporate bellwether's move to annual lump sum match seen as coming attraction; new planning required
Just a week since the acquisition was finalized, RJ announces appointments and promotions
After months of speculation, Regions Financial finally sells Morgan Keegan. The price tag? A whopping $930 million. The buyer? Raymond James.
Proposal would have hiked continuing-education requirements for registrants; no shortage of comments.
Brokers at Edward Jones are being asked to sign a new employment contract. While the agreement is not new, the tough wording has caught some reps by surprise.
A potential proposal by Finra requiring reps to dislose their recruitment incentive to clients is drawing decidedly mixed reviews. Dan Jamieson reports on the reaction.
