After receiving a fair amount of negative comments from reps, Finra is backtracking on its plan to end the 5% markup rule.
For the second-straight year, LPL plans to raise the fees its reps must pay. The reason? For one, higher insurance costs. The B-D is also cutting some bonuses.
Although the brokerage industry's recruitment protocol continues to gain new members, some advisory firms are pulling out because they're not recruiting from the wirehouses.
One of the most popular stories we have ever published was the April 29, 2012 story by Mark Schoeff Jr., “<a href=http://www.investmentnews.com/article/20120429/REG/304299986>A talent shortage looms as the industry booms</a>”. Within 24 hours of posting, the story went viral and is now our second most-read story of 2012. Why?
Have you ever felt stuck, like you've lost the energy and zest to continue pushing yourself toward your potential? Our industry is full of stories of advisers who have settled for less than they were hoping to achieve—sometimes much less.
2013 will be an active year for broker recruiting.
Lochan to oversee B-Ds Business Technology Services' risk management and information security teams
Program targets regional directors and small- to mid-sized BDs.
Clearing firms used by the independent broker-dealers with the most revenue
Just a week since the acquisition was finalized, RJ announces appointments and promotions
Brokers at Edward Jones are being asked to sign a new employment contract. While the agreement is not new, the tough wording has caught some reps by surprise.
A potential proposal by Finra requiring reps to dislose their recruitment incentive to clients is drawing decidedly mixed reviews. Dan Jamieson reports on the reaction.
Full disclosure on recruiting packages? Bring it on!
While other insurers sell off their indie broker-dealer units, AIG is buying. Indeed, Tuesday's acquisition of Woodbury Financial looks to be the first in what could be a string of deals.
Announcement of a deal for the 1,600 reps and advisers is expected before indie B-D's national sales conference next month
