Could FPA’s Waning Power Lead to Its Untimely Demise?
Its membership has shrunk even as the number of CFP certificants has risen. The FPA is at a crossroads.
FINRA Names Berry Head of Arbitration
FINRA announced Thursday that Richard W. Berry will replace Linda Fienberg as head of the self-regulator’s dispute resolution.
SEC Enforcement: Layne Christensen Fined $5M on Bribery Charge
Meanwhile, the SEC sanctioned Florida-based auditor Eliot Berman for violating federal laws and regs.
SEC, FINRA: 5 Tips to Avoid Penny Stock Scams
SEC, FINRA highlight ways investors can avoid dormant shell company scams.
Should 401(k)s Have Bitcoin?
Its advocates acknowledge it's a risky investment but, they say, acceptance is growing, as is interest from institutional investors.
TD Ameritrade Reports Record Earnings for 2014; Advisor Business ‘Firing on All Cylinders’
TD Ameritrade execs talk to ThinkAdvisor about their earnings, how the firm lures wirehouse brokers and what they think of Schwab's new robo-platform.
ERISA at 40: ‘Terrible’ or ‘A Job Well Done’?
While terms used to describe ERISA include “horrible” and “terrible,” a panel of experts agreed Tuesday that the law has had a positive impact.
Merrill to Pay FINRA $6 Million Over Reg SHO Violations
FINRA said Monday that it had fined Merrill's clearing and BD arms for not ensuring that fail-to-deliver positions in short sales were properly closed out.
What to Do When the Examiners Visit Your Practice
Advisors love to learn from other advisors, which is why about 75 of them showed up early for a compliance session during Commonwealth Financial Network's national conference.
How to Start Your Own RIA Firm
So you want to be an RIA? Here are the business and legal considerations to address before hanging up your shingle.