SRO offers options on valuing vehicles like nontraded REITS on account statements.
Industry maverick planning another liquidity event
Business development chief Goldin to take over for well-regarded veteran.
Insurer's B-D group now has more than 6,000 independent reps and advisers.
Recruiters say management at Woodbury Financial, which is being acquired by AIG's broker-dealer, has doubled down on retention packages in a bid to keep reps in their seats.
Finra warns broker-dealers on nontraded-REIT info shortcomings; sees misleading communications around distributions, risks.
In what may be an ominous sign for indie B-Ds, Massachusetts sued LPL for dishonest business practices in the selling of a popular nonlisted property trust.
Broker-dealer works to enhance systems to get over latest compliance hurdle.
