Finra boss says advisers should be acting ahead of rule change by SEC; customers' best interests paramount
State securities regulators are warning investors to be careful about peer-to-peer lending over the Internet, a trend that they say is on the rise as conventional loans have become scarcer and more costly
The recession that stripped many Americans of their financial security may also have saved a few marriages
Summary prospectuses for variable annuities are supposed to help consumers make informed decisions about buying these complicated investments
Egypt's political future may be uncertain, but U.S. financial advisers are sure of one thing — it's best to observe Middle Eastern developments carefully but to avoid the region for now
Finra warns about slew of pump-and-dump schemes aimed at milking disaster in Nippon
While Americans in Egypt evacuate with help from the U.S. Embassy, financial advisers are considering whether investments in the embattled nation — and the rest of the Middle East — should follow.
Melding the search results of the two systems the public uses to look up information about financial advisers and broker-dealers will make it easier for investors to investigate their financial professionals, according to an SEC staff report released last week
The value of an investor's primary home wouldn't be taken into account when determining whether the individual were an accredited investor, according to a rule proposed by the Securities and Exchange Commission
Beacon Financial Partners about a year ago realized that it was time for the growing advisory firm to move to a more sophisticated broker-dealer.
