FINRA Seeks Comment on BD Blockchain Implementation
FINRA issued a report on Wednesday examining the uses and implications of distributed ledger technology in the securities industry.
For Families With Special Needs, Listening Is Key for Advisors
Parents of children with special needs are facing a three-fold challenge when it comes to financial planning.
Trump Order to Delay DOL Fiduciary Rule Said to Be Coming Soon
“People are confident a delay for at least a year is imminent, but not guaranteed,” an industry source said.
When Trump Tweets, Investors Listen
What does a tweeting president mean for advisors and their investor clients?
Ahead of Inauguration, Investors Not ‘Fully Bullish’: Merrill
Fund managers said they were positioned for stronger growth and inflation, but cash levels rose above the 10-year average in December.
DOL Posts Indexed Annuity Fiduciary Rule Exemption Draft
To get supervisory responsibility, a marketing organization might need $1.5 billion in annual sales.
FINRA Mulls Changing Its Rulemaking Process
FINRA plans to ask BDs about what changes need to be made to its engagement and transparency policies — including how it crafts rules.
Raymond James Chooses New Data Partner: Tech Roundup
Raymond James has chosen AxiomSL to provide broker-dealer and bank holding data aggregation and reporting solutions, the firm announced on Thursday.
SEC Fines BlackRock and HomeStreet for Impeding Whistleblowers: Enforcement
In other enforcement news, Allergan will pay a $15 million penalty for disclosure failures during merger talks.
How to Choose a Strategic Beta ETF
A panel of ETF experts convened by Schwab ETF OneSource provide their tips for advisors and investors.