Displaying 174 results
Answers to the SEC’s Reg BI FAQs depend on facts, circumstances
When the CFP Board provides guidance for its fiduciary standard, it uses case studies
Finra probes brokerage bank sweep accounts as commissions dwindle
Expert: Interest rate discussions with clients ‘can be problematic’
Rick Suarez to head $7.5 billion Clarfeld/Citizens Private Wealth
Suarez succeeds firm founder Rob Clarfeld, who becomes executive chairman
Wall Street targets Silicon Valley rich
Citi, Bank of America and Morgan Stanley are among the firms beefing up their wealth management efforts in Northern California
Finra outlines questions firms must answer on Reg BI compliance
Regulator also highlights private placements, digital communications and bank sweeps as priorities
‘Text me,’ say clients, but many B-Ds don’t allow it
Almost nine out of 10 advisers believe clients want to text, Redtail survey finds.
Atria Wealth to acquire Western International Securities
Pasadena, Calif.-based indie will be fifth B-D under Atria umbrella
No bonuses to advisers in Ladenburg Thalmann, Advisor Group deal
But they will see extras in services, including trusts and insurance marketing, says Advisor Group CEO Jamie Price
Colorado charges broker-dealer with failing to supervise reps working in South Carolina
Structured CDs at the center of Colorado's charges against Centaurus Financial, advisers.
Number of brokerages, reps registered with Finra falls again
Despite the declining number of participants, industry revenue and profit increase
Small Broker-Dealers Enjoy Big Benefits as Branch Offices
In response to changes in the industry, many small broker-dealers are opting to become super branches under a larger broker-dealer. Learn why this could be the best choice for your practice.
MeToo: Even in the financial advice industry, sexual harassment is a serious problem
An InvestmentNews survey reveals the extent of assaults and other offenses financial advisers face, and what some industry groups are doing to address it.
Fortress Biotech selling its majority stake in National Holdings
B. Riley Financial will own 49% of the shares of the broker-dealer, which has 700 independent reps and advisers
Beyond payroll: What makes broker-dealers successful
Adviser compensation management is about more than adviser compensation.
ETF tracking broker-dealers and exchanges rakes in cash
The iShares fund has big holdings in Goldman, Morgan Stanley and Schwab.
Designing the Super OSJ of the future
The groups will expand beyond compliance to provide advisers with turnkey solutions, training programs and even succession planning.
SEC charges Alpine Securities with failure to file suspicious activity reports
Agency says Utah broker-dealer failed to document suspicious microcap stock trades
Brokers-dealers move to trim fund offerings as they adjust to DOL rule
Small fund companies may have to pivot, by embracing a niche specialization or redirecting sales forces toward new distribution channels.
Small broker-dealer owner settles with Finra over allegations of concentrating clients in illiquid alts
Jason Vanclef was also accused of promoting his business through a book he had written that the regulator said made false claims about alternative investments
John Hancock swims against the tide, doubles down on independent broker-dealer business
By picking up 883 Transamerica advisers and $25 billion in client assets, its Signator Investors B-D now has the scale to compete profitably in era of increased regulation and rising costs.
