Move is designed to address unpaid arbitration claims, but critic says it doesn't go far enough.
Discount broker buying second-tier custodian for $275 million.
Some in industry fear a data breach that could make list public.
All 634.403 reps have been ranked based on factors such as prior regulatory disclosures, disciplinary actions and employment history.
Latest disciplinary actions involve insurance commissions, including case of Florida planners who lost a lawsuit e organization.
If confirmed, Preston Rutledge would serve as assistant secretary of Labor and head of the Employee Benefits Security Administration.
The measures, which include revising the accredited investor standard and safeguarding those who report elder financial abuse, head to the House floor but face varying degrees of difficulty in the Senate.
Preston Rutledge, the senior aide on the Senate Finance Committee, could become the next DOL assistant secretary for the Employee Benefits Security Administration.
Managing director Lisa Bleier set to testify in Nevada workshop on state's new fiduciary law.
Robert Cook, sitting down with critic David Burton of the Heritage Foundation, says Finra may become more open with board deliberations and how it spends fine money.
