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NEWS REGULATION AND LEGISLATION MAR 17, 2013
Finra upped fines by 15 percent last year, study shows

Data reveals that Finra up its fines in 2012 by 15 percent. Disciplinary actions were up as well. Dan Jamieson breaks down the numbers

NEWS REGULATION AND LEGISLATION MAR 13, 2013
MSRB seeks to follow Finra on investment suitability rules

Tracking investment strategies remains a focus.

Fiduciary standard may be on hold, but it remains a hot-button issue
NEWS REGULATION AND LEGISLATION MAR 13, 2013
Fiduciary standard may be on hold, but it remains a hot-button issue

A panel discussion at TD Ameritrade Inc.'s fall regional conference on Tuesday drew heated discussions.

NEWS REGULATION AND LEGISLATION MAR 05, 2013
Industry arbitrators may not disappear, after all

INVESTING FIXED INCOME FEB 27, 2013
Finra bond warning a real worrier

Finra has warned about a possible route in the bond market. This speaks volumes about the dangers debt-holders are actually facing.

NEWS RIAS FEB 26, 2013
Fidelity Institutional ended 2012 with record level of assets

Firm's RIA chief pegs 21% increase to investor interest in independent advice.

NEWS REGULATION AND LEGISLATION FEB 17, 2013
Finra to try again on controversial membership rules

Finra is once again looking to change some of its membership rules. The first go at making some revisions -- floated back in 2010 -- was not exactly cheered by reps.

NEWS BROKER DEALERS FEB 17, 2013
Edwards firm hits milestone of 100 brokers

New office in Melbourne, Fla. is the firm's 28th location

INVESTING FIXED INCOME FEB 17, 2013
Financial advisers: Finra warning on bonds better late than never

Regulator told investors in an alert that outstanding bonds could see price drops with rising interest rates

NEWS REGULATION AND LEGISLATION FEB 17, 2013
Mass. regulator: Ban pre-dispute arb pacts

Massachusetts Secretary of the Commonwealth William Galvin urges SEC to consider banning the use of such agreements by registered investment advisers