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Less than 19% of senior executives in the financial services industry are women. What do women need to do to improve those statistics?
Finra has withdrawn its controversial proposal that would have required brokers to tell clients about recruitment incentives. The move took industry watchers by surprise; some expect the regulator to float a new proposal.
Answering the question about whether the CFP Board should adopt a less rigorous “fee only” definition.
Financial planning and advice firms recruit women less, hire them less often and pay them less than men, a new report from the Certified Financial Planning Board of Standards found.
Advisers wanting to work with LGBT clients will have to stay current on the changing state laws and realize how their clients' residences can shape their retirement and estate planning.
What does it mean to be connected? A new list scientifically ranks the people who have the networks and the ability to get things done.
Finra trimmed its operating loss last year, helped by a modest increase in revenue, but compensation and benefit costs continued to eat up a chunk of the SRO's funds. After eking out a slight net income gain, Finra set a rebate to member firms.
Finra kicks out a former Raymond James broker who allegedly stole $3 million from 13 clients. Mason Braswell reports.
The acquisition is aimed at bolstering the firm's market presence in unified managed account services.
Sometimes it's necessary to move people to uncomfortable places to give them the best financial help possible.
Take care of your emotional and physical health by taking care of changes that you can control.
As in the past, budget is short of what agency says it needs to increase oversight of advisers.
It's a seller's market, but advisers who are serious could find their efforts well-rewarded.
FPA, which has championed a uniformed fiduciary duty, is joining with an insurance giant.
Noting surge in inflows, Bowden calls the funds 'bright, shiny objects' with sharp edges.
At Finra, fines are less than 10% of the annual budget but make no mistake, they are important, says Mark Elzweig.
Advisers add stability by preparing the next generation, U.S. Trust survey finds.
Shareholders of Nicholas Schorsch's American Realty Capital Properties turned thumbs down on the eye-popping pay plan for Mr. Schorsch and other top execs. <i>(Plus: <a href="http://www.investmentnews.com/article/20140602/FREE/140609999" target="_blank">Schorsch sells a health care REIT</a>)</i>
