Two large industry groups have slammed a Finra proposal that would require greater disclosure of incentive bonuses.
Looking to find practices that might put investors at risk
Ways and Means boss backs comprehensive reform — but not hiking rates
Ex-Edward Jones rep understands trials and tribulations of small-business owners; 'Finance 'n Stilletos'
Thorne relies on Harris for analysis — of investments; 'not business-savvy'
The Securities and Exchange Commission may move ahead with "harmonization" of broker and investment-adviser rules before deciding whether to propse a rule that would raise investment-advice standards for brokers. That is creating concern in the adviser community.
New Senate banking committee leader says uniform fiduciary duty should be a priority.
Agency is signaling that it first may adjust the rules governing brokers and investment advisers
Moves this week by Finra and the SEC signal watchdogs are ready to pounce on anyone overcharging clients.
