SIFMA Sees SEC Fiduciary Rule Proposal Within 18 Months
The lobbying group takes SEC Chairman Jay Clayton "at his word" that the rule is a top priority, CEO Ken Bentsen says.
FINRA Seeks to Revamp Expungement Process
FINRA said that it's discussing with NASAA "more extensive changes" to the process.
Triad Advisors Adds $900M Group: Recruiting Roundup
Meanwhile, Woodbury and Ameriprise Financial share news on their latest hires.
FINRA Releases First Exam Findings Report
Here are the top four problem areas FINRA considers worth highlighting.
2 Advisor Groups With LPL Ties Merge
Wealth Enhancement Group has some $7.5 billion in client assets; the move boosts its presence in Florida.
‘Phase 2’ of DOL Rule Is Dead: Brian Hamburger
At the MarketCounsel Summit, Hamburger also said the Protocol for Broker Recruiting was "unraveling."
Treasury’s Crime Unit Launches FinCEN Exchange
The exchange is intended to enhance information sharing with financial institutions to fight money laundering.
Veteran $1B Wells Fargo Team Moves to Baird
The group includes three advisors based in Anchorage, Alaska.
Why More Advisors Are Offering Financial Planning Services
A new report from Cerulli explains the growing popularity of planning services among advisors, especially younger ones.
LPL Adds $1.1B NPC Team
The group comes on board about three months after LPL's acquisition of assets from its parent firm.