FINRA to Clamp Down on High-Risk Brokers With Tougher Rules
The group is looking to raise fees, consider more severe sanctions and further restrict firm and advisors with disciplinary issues.
Arkadios Capital Nabs $1.8B Triad RIA, LPL Grabs $420 Merrill Team
Meanwhile, Kovack Securities buys broker-dealer with $200 million and seven advisors.
Ex-Simpson Thacher Partner to Head SEC Division
William Hinman has been named the head of the Division of Corporation Finance at the SEC.
CFPs Can Now Earn CE Credits Under IRS Tax Prep Programs
Credits can be earned for the Volunteer Income Tax Assistance or Tax Counseling for the Elderly program.
Advisors, ThinkAdvisor Wants You to Share Your Military Stories
Please tell us about your military service in a short survey so we can share your stories Memorial Day weekend in our Advisors Who Serve(d) slideshows.
Jay Clayton — Wall Street's Top Cop: The 2017 IA 25
Groups press the new SEC chief to prioritize a fiduciary rule; appointing staff will be among his top tasks.
Ron Carson — The Advisor’s Advisor: The 2017 IA 25
He argues today's reps must prove their worth and adjust to change; "you either evolve quickly or become irrelevant."
SEC, FINRA to Host BD Compliance Outreach Symposium
Topics range from cybersecurity to investing by seniors.
TD Bank Names New Sales Chief for Wealth Group
Jim Nesci joins the the firm from Provident Bank; he has more than 25 years in the industry.
RBC, Amerprise Add Wirehouse Reps: Recruiting Roundup
Meanwhile, Raymond James grabs a Morgan Stanley executive; CapTrust brings InTrust into its network.