Ketchum’s Comment on SRO Defeat Isn’t the Final Word, Watchers Say
Advocates from fi360 and IAA say FINRA is merely biding time for a more agreeable Congress before another attempt to gain control over advisor regulation.
DOL Fiduciary Plan Could Hurt Workers Changing Jobs: Study
The DOL fiduciary proposal could lead more workers, particularly lower earners, to cash out their retirement plans by barring them from advice, Quantria Strategies says.
LPL Exec Bruton Resigns Over ‘Interactions With Other Employees’
Derek Bruton, head of independent advisor services at LPL, steps down after seven years at the IBD.
BDs Blast FINRA’s CARDS Plan on Privacy Risk
FSI and other broker-dealer trade groups say FINRA's plan to collect vast amounts of account data comes with "serious privacy" concerns and significant costs.
FINRA Backs Off Collecting Personal Data in CARDS Plan
Submission of information will not include individual account names, addresses or tax identification numbers.
Survival Strategies for IBDs
What will the industry look like 10 years from now? What it will take for advisors and broker-dealers to survive that long?
FINRA OKs Plans on BrokerCheck Link, Expungement and Arbitrator Definition
FINRA's board on Thursday approved three rule proposals — including one to limit how many investor complaints a broker can have expunged from BrokerCheck.
Upcoming Bills Aim to Make Retirement Planning Easier, More Transparent
Legislation in the works this year may help retirees to better plan for prosperity in their golden years.
FINRA to Reconsider BrokerCheck Web Link Plan
FINRA board also plans to consider next week definitions of “nonpublic” and “public” arbitrators as well as an expungement rule.
Tibergien: Time to Move Beyond ‘Serving Dead and Dying’
Mark Tibergien has a tongue-in-cheek warning to BDs on looking toward the future.