Schorsch's RCS Rebrands IBD Unit, Stays With Pershing
The unit, renamed Cetera Financial, will include expanded marketing platform and consulting services, Cetera CEO Larry Roth said.
Schorsch’s RCAP Buys Another IBD, Reports Q2 Results
VSR Group will join RCAP’s Cetera Financial group, boosting its advisor count to more than 9,200.
The 2013 IA 25: Advisor Advocates and Regulators
Since the financial crisis, advisors have had to defend their businesses from wary consumers, overzealous legislators and sometimes even other advisors whose unscrupulous actions would cast good advisors in the same shadow as bad advisors.
Mary Jo White: The 2013 IA 25 Extended Profile
All eyes will be on new SEC Chairwoman Mary Jo White as she takes the helm and decides which rulemakings to tackle first.
Crossing Paths: The 2013 IA 25
With Investment Advisor's 11th annual list of the most influential individuals in and around the advisor business, we decided to do something different.
Mary Jo White Confirmed by Senate as SEC Chairwoman
The former prosecutor was confirmed as SEC chief via unanimous consent.
White Pledges to Weigh Cost of Fiduciary Rule as Ketchum Revives SRO Fight
Just as incoming Securities and Exchange Commission (SEC) Chairwoman Mary Jo White has pledged to lawmakers that she would carefully weigh the costs of a fiduciary rulemaking, Richard Ketchum, CEO of the Financial Industry Regulatory Authority (FINRA), is renewing his call for a self-regulatory organization to oversee advisors.
SEC to ‘Customize’ Sanctions
The commission is responding to criticism that it is too lax in its enforcement and its bans are too broad.
Mary Jo White Commits to Reviewing Fiduciary Comments
Mary Jo White told the Senate Banking Committee on Tuesday that she would “commit” to reviewing the request for public comment on the agency’s fiduciary rule before releasing a proposal.
Mary Jo White to Focus on Fiduciary Issue at SEC
Mary Jo White plans to testify before Senate Banking on Tuesday that regulating advisors and BDs is an "important" issue that she intends to focus on as SEC chairwoman.