A New Hope
In the individual video interviews I conducted with the leaders of the 2014 Broker-Dealers of the Year, I asked what advice they’d give to a college student considering a career in the financial advice field.
Anyone Can Invest Like Buffett, Icahn With New ETF
Want a tip from Warren Buffett? New app provides instant notification of his SEC filings, and the accompanying ETF blends the 10 best performing billionaires.
New Hire Roundup: CFTC Names Goelman Enforcement Chief
Grace Vogel joined PwC’s financial services regulatory practice, and the Hedge Fund Association named three women to leadership positions.
High-Speed Trading Rules Coming From SEC, White Says
The SEC chief unveiled the regulator’s most sweeping plan yet for reining in high-frequency trading and monitoring secretive trading practices.
FINRA’s ‘Total Warfare’ Against Brokers in Arbitration
Breakaway brokers and pros across the financial industry cite biased panelists, missing hearing records and a 93% win rate for brokerages.
SEC Fines NYSE, 2 Affiliates $4.5 Million for Breaking Their Own Rules
“We will hold exchanges accountable if they fail to have rules governing their operations or fail to follow them,” said SEC's Andrew Ceresney.
New Hire Roundup: Sosa Leaves PIMCO to Lead New DoubleLine Group
Danielle Fischer went to the Private Client Reserve of U.S. Bank, and Mariner Wealth Advisors acquired a majority interest in Housen Financial Group.
SEC Weighs Requiring Brokers to Tell Where Trades Are Sent
The proposal is intended to address complaints that trade routing decisions sometimes are not in clients’ best interests.
DeLegge: Why Do Exchanges Still Ignore Cheaters?
The previous era of low-tech cheating has simply been replaced by high-tech cheating with software algorithms.
UBS, Raymond James Grab $2M Teams From Rivals
Meanwhile, Sapient recruits a rep from RBC in Oregon, a new RIA opens its doors in Minnesota, and an ex-Ameriprise group joins LPL.