Casady Leaving LPL at ‘Challenging Time’: Recruiters Say
The independent broker-dealers says President Dan Arnold will take over in 2017.
What the Future of Social Security Looks Like: Bill Reichenstein
Reichenstein, a Social Security expert, tells ThinkAdvisor how to make the trust fund last another 75 years and discusses some strategies retirees overlook.
Obama’s Cybersecurity Commission Issues Final Report
The nonpartisan commission identifies six imperatives for current, and new, administrations to take action on.
Fed’s Dudley Says He Favors Tighter Monetary Policy Over Time
New York Fed President William Dudley signaled that he approves of higher interest rates over time as the economy continues to improve.
Fed’s Dudley Says Financial Regulation Job Remains Unfinished
Regulators still have not eliminated the threat posed by institutions considered “too big to fail,” Dudley says.
CANNEX Brings Greater Transparency to Annuity Market: Top Portfolio Products
In other product news, Invesco and iShares expand their ETF lineups.
Credit Suisse Fined $16.5M by FINRA for Weak Anti-Money Laundering Policies
The firm fell short on procedures to detect possible money laundering involving microcap stock transactions.
Why RIAs and IBDs Favor ETFs Over Actively Managed Funds 4 to 1
The increased flows into ETFs are due to many factors including the DOL fiduciary rule.
FINRA to Increase Number of Public Arbitrators
The SEC has approved a FINRA rule to increase the number of arbitrators on the public arbitrator list from 10 to 15.
New Hearsay Tools Make Social Media Compliance Easier and Faster
The new technology enables compliance supervisors to review advisor digital activity with one or two clicks.