Advisors Can Now Earn Medicare CFP Board CE Credits
Medicare Interactive Pro now offers two online Medicare courses approved by the CFP Board.
SEC Actions Against BDs Jump 20%: Cornerstone Research
First half of FY 2017 sees increase, as SEC continues to file vast majority of its actions as administrative proceedings rather than civil actions.
Raymond James to Buy $27B Asset Managers
Scout Investments and Reams will join Carillon Tower Advisers, which recently expanded its sales and distribution team.
FINRA Senior Helpline Marks Anniversary With $4.3M in Reimbursements
Since helpline launched two years ago, FINRA staff have referred nearly 650 matters to state, federal and foreign regulators.
The Biggest Concerns of Not-for-Profit Plan Sponsors: TIAA Report
TIAA suggests ways plan sponsors can prepare employees for successful retirement.
Critic of 'Overpaid' CEOs Dies at 82
NYSE compensation consultant Graef Crystal criticized Citi's Weill and NYSE CEO Grasso, but labeled BofA's Moynihan as underpaid.
Wells Fargo CEO Says Ousting Majority of Board Would Be ‘Crazy’
Board grasps bank’s problems, Wells Fargo’s Tim Sloan says, and gutting panel would be “absolutely irresponsible.”
Financial Choice Act Hearing Date Is Set
“Republicans are eager to work with the President to end and replace the Dodd-Frank mistake,” House Financial Services Chair Hensarling said.
Why Individual Investors Support Fiduciary Rule: Financial Engines Survey
A survey from the nation's biggest 401(k) advisor found that 93% of Americans want advisors working on retirement accounts to put client interests first.
New York RIA Registration Quirks
State investment adviser regulations can vary rather dramatically from state to state. Yet New York's regulatory regime stands out as perhaps the quirkiest.