Mass. Regulator Galvin Slams Financial Choice Act
The Act "purports to benefit Main Street and Mom and Pop," William Galvin told Rep. Hensarling, but instead "is a generous gift to Wall Street."
Raymond James’ National Event to Highlight DOL Fiduciary, Politics & Markets
The yearly conference for its independent advisors takes place this week in Orlando.
Trump Issues Dodd-Frank Executive Order
It directs Treasury Secretary Mnuchin to review Orderly Liquidation Authority, Financial Stability Oversight Council
Trump’s Tax Plans Coming Next Week, White House Official Says
Word comes as president approaches end of his first 100 days; key Senate panel said not to have seen final details yet.
3 DOL Fiduciary Takeaways From Morgan Stanley’s Q1 Earnings
CFO Pruzan outlines the impact the new fiduciary rule is having on the firm's sales, recruiting, margins and costs.
SEC Says New York Advisors Falsified AUM to Entice Investors: Enforcement
In other enforcement actions, the SEC charged an oil and gas promoter with misappropriating investor funds.
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.