Displaying 68 results
IRI leadership feels good about ‘trajectory’ of DOL fiduciary rule
Board members point to SEC's elevation of issue as a top priority.
SEC cost-benefit analysis turns up dearth of data on fiduciary rule
Advocates of higher standard surprised at SEC official's comment
Finra’s BrokerCheck comes under fire
Database omits bankruptcies, tax liens, and other vital information, lawyers group claims
FSI to push for independent-contractor legislation in 2014
Live from FSI OneVoice: Group wants to remove the uncertainty of continuing IRS scrutiny. Check out a video interview with Dale Brown, where the organization's president and CEO offers his Finra wish list.
Individual advisers can be liable for money laundering, Finra warns
In some cases, the failure to supervise rests with the adviser, not the firm, senior director says.
FSI adds two indie broker-dealer executives to board
One of the biggest cheerleaders for independent broker-dealers in Washington is adding two senior executives from the industry to its board.
More diversity at advisory firms would be welcome, Edward Jones survey shows
Nearly 80% of black and Hispanic respondents say such a move would better serve clients' needs.
Advisory panel calls on SEC to move fiduciary duty to front burner
The Investor Advisory Committee gives the SEC two options for a uniform standard for advisers and brokers.
Two vie in runoff for Finra small firm advisory board
Deadline for ballots in race between Stephen Hart and Myles Edwards is Monday.
Gregg steps down as SIFMA leader after only 7 months
Former senator from New Hampshire says he needs to cut down on travel, hectic schedule.
White softens stance on minor securities violations
“It's not a game of gotcha,” SEC chairman tells compliance officers.
Take 5: New NASAA president Andrea Seidt
Ohio Securities Commissioner Andrea Seidt is concerned that the Securities and Exchange Commission is getting bogged down.
Adviser buzz from FPA Experience 2013
A collection of the most influential adviser tweets via the #FPAExperience conference hashtag
CFP Board renews emphasis on comp disclosure
In wake of Goldfarb resignation, trade group to cut "salary" from options.
FSI unveils advocacy website, social network
Tools intended to improve lobby's advocacy efforts and collaboration members.
Stock exchanges should lose SRO status: SIFMA
Trade group calls for review of B-D and exchange regulatory structures.
FPA picks Gjertsen as 2014 president-elect
One-year term starts in 2015 following the one-year presidency of Janet Stanzak in '14.
CFP Board to admonish ex-chairman
The Certified Financial Planner Board of Standards Inc. is expected to issue a public admonition letter today to…
NAPFA all-in on pushing CFP mark
Why did NAPFA throw its full weight behind the CFP designation? The answer may not be as simple as you think.
Leitz tapped as next NAPFA chair
Experience includes registered rep, bank examiner, financial planner.
