Scared Straight: Simple Cybersecurity Measure to Protect Your Firm
Appropriate security processes at the enterprise level are not as ubiquitous as one might think. Here’s why that’s a problem.
BD Execs: Clients Too Conservative, Putting Themselves at Risk
Panel led by Cetera CEO Larry Roth says investors are running scared, annuities are misunderstood and the industry is ready for a "Napster moment."
6 Areas of Regulatory Focus From a Former FINRA Exec
What do “Birdman” and broker-dealers have in common?
Jeremy Siegel: Dow 20,000, Here We Come
Index will hit 20,000 as early as year-end, boosted by low interest rates and expectations that the Fed won't hike rates soon, Siegel says.
Royal Alliance Adds $600M Group With 33 Reps
Also, Securities America welcomes back a $100 million team from LPL Financial.
Hearsay Updates Social Media Apps for Mobile Phones
Meanwhile, Socialware introduces a brand protection tool for financial companies.
FINRA Enforcement: Oppenheimer to Pay $3.75M for Failure to Rein In Broker
Meanwhile, FINRA fined Ameriprise Financial over a rep who hid a customer complaint.
U.S. Retirement Assets Up 6% Year Over Year
Defined contribution plan assets rose 2.1 % in the fourth quarter to $6.8 trillion.
Investors Pile Into Energy ETFs
Investors poured $1.2 billion into energy-related ETFs during the first three weeks of March when oil prices fell 7.2%. Were they smart or foolish?
Ameriprise Agrees to $27.5M 401(k) Settlement
The broker-dealer was accused of charging its employees high fees and using expensive proprietary funds.