Lawmakers Air Concerns About DOL Fiduciary Redraft
Lawmakers air concerns about the upcoming DOL fiduciary redraft release, lay out plans to ensure next Congress keeps the current retirement planning tax incentives intact
Are Changes Coming to FINRA Exams?
At SIFMA annual, CEO Richard Ketchum says FINRA is anonymously surveying brokers about its exam program.
Financial Planning Programs Clamoring for Latina Students
Young Hispanic women have been the "star performers" in William Paterson's financial planning degree programs and are highly sought after by other schools.
SEC Enforcement: Layne Christensen Fined $5M on Bribery Charge
Meanwhile, the SEC sanctioned Florida-based auditor Eliot Berman for violating federal laws and regs.
Former AXA Execs Launch Firm to Help Teachers, Nonprofits
The new group, ABMM Financial, aims to attract public-sector clients and their assets to 403(b) plans, which the founders say are underutilized.
10 States With Most Advisors Headquartered
Most investment advisory firms’ main offices are concentrated in relatively few states, with distribution likely driven by access to financial markets, population and net worth.
Rep. Garrett to FINRA: Hold Off on CARDS
“After a preliminary reading of the proposed rule, I remain far from convinced that this new, costly and burdensome proposal is needed,” Rep. Garrett says.
10 Best Cities for Jobs in Financial Services: 2014
Several cities debut on Accounting Principals’ annual list on financial services jobs.
Focus, Dynasty Add Teams; Morgan Stanley Grabs 4 FAs With $660M
Boutique firms continue to attract registered reps, including some from the wirehouse firms.
New Hire Roundup: ABIA Elects New Board Members
This week, the American Bankers Insurance Association elected new board members, and Deutsche Asset & Wealth Management hired four regional VPs.