CAPTRUST and CapTrust Reunite
The two firms split in 1998 but had operated as part of the larger CapTrust organization.
FINRA Nominates Large, Small Firm Members for Disciplinary Panel
SEC also approved amendments to FINRA customer and industry arbitration rules.
Are You Ready for T+2?
The shorter settlement period for trades — two days instead of three — has implications for financial advisors.
SEC Slams Banca IMI Securities With $35M Fine Over ADRs
Brokerage firm "made it possible for such ADRs to be used for inappropriate short selling or inappropriate profiting around dividend record dates," SEC said.
Citing DOL Rule, Girard Goes Indie With Cetera
Girard Securities is expected to start winding down its broker-dealer platform in November.
Deficiencies Found at 97% of BD Audit Firms
Deficiencies were observed in audits at 73 of the 75 firms inspected during 2016, PCAOB's annual report says.
DFA Announces Second Leadership Shakeup This Year
Co-CEO Eduardo Repetto is leaving; current co-CIO Gerard O'Reilly will replaces him in September.
Is LPL’s Purchase of NPH Savvy or Reckless?
Analysts and executives discuss the pros and cons of the IBD's $325 million purchase.
Will LPL’s New NPH Reps Stay or Go?
Industry specialists debate how the move to a self-clearing firm could impact the 3,200 reps.
Cetera Appoints New Information Officer
Cetera has appointed Michael Ragunas as chief information officer to help the organization develop and implement technology across all its lines of business.