High Risk Broker initiative led to "concentrated effort" and "material results," Finra CEO wrote in letter to Sen. Edward Markey, D-Mass.
A new SEC plan to target advisers who have never undergone formal compliance examination is drawing support from advisers.
President Obama's voluntary '"myRA" proposal, with no option to invest in stocks, could be doomed to failure, advisers say. The plan "isn't going to go anywhere," according to one skeptic. <i>(Don't miss these <a href="http://www.investmentnews.com/gallery/20140123/FREE/123009998/PH" target="_blank">tips for a worry-free IRA rollover</a>.)</i>
No more "fill in the dot completely" when the CFP Board begins administering CFP exam on computers later this year.
Don't move funds based solely on the word 'free,' regulator says.
Advisers registered in one state could join new organization and sell insurance in other states.
Part of four-year, $40 million campaign.
Finra OKs a plan requiring brokers to disclose recruitment compensation when they switch firms. Chief executive Richard Ketchum says the decision shows its commitment to transparency.
New commissioner complains he was not given enough time to review a new rule.
