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NEWS REGULATION AND LEGISLATION JUL 23, 2012
Definitely not-for-profit: Finra loses $84M in 2011 on rising expenses

The Financial Industry Regulatory Authority Inc. took a hit as regulatory fees continued to decline and the costs of its ongoing integration with the NYSE rose.

NEWS RIAS JUL 22, 2012
RIA units at Schwab, TD Ameritrade drive assets

NEWS REGULATION AND LEGISLATION JUL 22, 2012
Goble reversal may haunt SEC

Wirehouses 'turning their backs' on small producers
NEWS RIAS JUL 19, 2012
Wirehouses 'turning their backs' on small producers

TD bosses see sub-$1B teams breaking away

NEWS RIAS JUL 17, 2012
Individual investor biz lags at Schwab, TD Ameritrade

The individual investor businesses at Charles Schwab Corp. and TD Ameritrade Holding Corp. remain in the doldrums, with low trading volumes and interest rates.

NEWS RIAS JUL 15, 2012
Making way for breakaways

NEWS RIAS JUL 10, 2012
Mariner looks to Orizon for next acquisition

Purchases majority stake in Omaha-based company's wealth management unit; second deal this year

New Finra suitability rules worry industry
NEWS REGULATION AND LEGISLATION JUL 10, 2012
New Finra suitability rules worry industry

On Monday, Finra rolls out its expanded suitability rules. Some advisers and attorneys say the rule is a little too expanded for their liking.

NEWS REGULATION AND LEGISLATION JUL 08, 2012
New Finra suitability rule worries B-Ds

NEWS RIAS JUN 28, 2012
Delays mar switch to state registration