Rep. French Hill says the broker-dealer SRO is the best equipped regulator for the job.
Chief broker regulator finds a lot to dislike in proposal, including unintended consequences such as a possible cutback in sales of IRAs.
Finra makes some information more prominent, but system still doesn't go far enough plaintiffs' attorneys say.
As one of the oldest working professionals in an industry run by men half her age, Irene Bergman, nearing her 100th birthday, offers a rare perspective and some advice for enjoying a long career. And she's never lost a client.
Regulator wants feedback on listing, trading and marketing of ETPs.
Veteran returns from Wall Street to the agency where he previously served as head of investment management.
<i>Breakfast with Benjamin:</i> June has been a bad month for stocks and this year looks to continue the pattern. So should you buy any dips?
<i>Breakfast with Benjamin</i>: A downward revision of first quarter GDP can be called an aberration, but that won't make it any less bad.
When clients start a financial conversation with decreased confidence and a perceived loss of control, they often resist taking action.
There are so many reasons to choose this profession, those who are currently in it just need to do a better job of helping to spread the word
Advisers can provide basic education on distribution options, even if the Labor Department's proposed fiduciary rules are still murky.
Proposed rules would require advisers on their Form ADVs to divulge more about their use of separately managed accounts and social media activities
Survey shows that only half of clients feel they're getting your full attention.
Lawmakers argue that agency hasn't justified a 15% increase for 2016
For the author, it's OK this week because the game's founder is donating to Nepal earthquake recovery.
Industry heavyweights including Schwab, Wells Fargo and SIFMA bemoan the new Brokercheck link proposal from Finra, saying it is still too costly and vague.
The measure would require a broker who has transferred to a new firm to send an “educational communication” to clients.
A few suggestions for retirement plan advisers who want to protect their clients and themselves as 401(k)s face legal and regulatory scrutiny.
Self-styled “Financial Coach" sentenced to prison term, $3.6 million restitution for fraud.
HighTower CEO takes a page from former Intel chief Andrew Grove to keep ahead of the curve in an ever-changing business
