IBD First Allied Taps TDAI’s Whitworth as Strategist for Business Consulting
The IBD First Allied Securities has hired Richard Whitworth of TDAI's practice management unit to be managing director of its Business Consulting Group.
State Securities Regulators to Hike Exam Fees for Series 63, 65 and 66
Despite increased costs of maintaining the exams, NASAA says the exam fees have not increased for the past four years.
FINRA Seeks Second Round of Comments on Markups, Commissions Plan
After being deluged with comments against its plan to end a 5% threshold on commissions and markups, FINRA is giving broker-dealers yet another chance to weigh in.
FINRA Reaches for Feedback on Broker Comp Disclosure Rule
FINRA’s board announced Friday that it would seek comment on its controversial plan to require brokers to disclose their compensation packages to clients.
FINRA to Mull Broker Compensation Disclosure Rule
December Board meeting will consider several rule proposals and amendments, chief among them a proposal that would require broker-dealers to disclose compensation packages to customers.
Jon Henschen: The 2012 IA 25 Extended Profile
Jon Henschen, president of Henschen & Associates, a broker-dealer recruiting firm, likens the torrent of regulatory changes the industry has seen recently to “having a cut on your finger, and they’re cutting your arm off to repair it.”
The 2012 IA 25
Some people ride a wave and some people, like the honorees of the 10th annual IA 25, create a wave.
Special Report: The 2012 IA 25
Throughout the rest of April and May, we’ll be publishing extended versions of each profile, including exclusive interviews, on AdvisorOne.
The Hartford Breakup: What It Means for Woodbury Reps
“It’s part of a trend of large insurance companies parting ways with their broker-dealers,” a research director with FA Insight said.
FINRA to Restructure BrokerCheck, Giving Investors More Power
Proposed changes include not only unifying BrokerCheck and the SEC’s IAPD system, but also divulging broker/advisor test scores.