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NEWS RIAS FEB 17, 2013
Schwab expanding one franchise at a time

NEWS REGULATION AND LEGISLATION FEB 10, 2013
Finra backtracks on plan to end 5% markup rule

Commenters had warned against eliminating it without setting a new standard

NEWS RIAS FEB 08, 2013
TD scored big with breakaways in 2012

Unit snags 110 brokers in fiscal first quarter; tops $200B in assets

NEWS INDUSTRY NEWS FEB 07, 2013
E*Trade commercial takes aim at fee-based advisers

Discount broker's 2%-too-much-to-pay claims could overstate the case

Schwab's RIA firms knocked 'em dead last quarter
NEWS RIAS FEB 07, 2013
Schwab's RIA firms knocked 'em dead last quarter

Advisers who hold their assets at The Charles Schwab Corp.'s custody unit brought in an eye-popping $24.4 billion in net new assets in the fourth quarter of last year — an all-time record.

NEWS BROKER DEALERS FEB 07, 2013
Finra offers details on controversial bonus disclosure reg

SRO posts summary of proposal on website; sure to draw some howls

NEWS INDUSTRY NEWS FEB 05, 2013
Cerulli: Advisers should think twice about running money

Performance lags packaged fund programs, blended benchmarks; get out, forget to get back in

NEWS RIAS FEB 03, 2013
Overlooking security holes puts clients at risk

NEWS BROKER DEALERS JAN 31, 2013
Finra backtracks on plan to end 5% markup rule

After receiving a fair amount of negative comments from reps, Finra is backtracking on its plan to end the 5% markup rule.

NEWS RIAS JAN 30, 2013
TD 2013 Live!: By overlooking security holes, advisers put clients at risk

Speaking at TD Ameritrade's annual conference, security experts said unsecured servers and lame passwords are putting advisers' clients at risk