Which State’s Residents Are Smartest With Money?
A just-released study from the FINRA Foundation ranks the states on several measures of "financial capability," like paying off debt and saving for emergencies.
FINRA Inks Deal With Direct Edge, Gains Oversight of 90% of Equity Trading Volume
FINRA announced Wednesday that Direct Edge, the third-largest stock exchange operator in the U.S., has made a deal with FINRA to provide market surveillance services on behalf of Direct Edge's two licensed stock exchanges.
FINRA’s Ketchum to SEC: Act Now on Fiduciary, or We’ll Make Our Own Disclosure Rules
Ketchum said, that without action, FINRA would “look hard” at issuing “an additional disclosure rule with respect to broker-dealer firms.”
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.
Dale Brown: The 2013 IA 25 Extended Profile
When reminded that this is the seventh year that he’s been named to the IA 25, Dale Brown was quick to give kudos to his entire team, noting that the Financial Services Institute’s success doesn’t hinge on his abilities alone.
Richard Ketchum: The 2013 IA 25 Extended Profile
FINRA CEO Ketchum says that the regulator continues to believe current levels of advisor oversight and exams are "unacceptable and a risk to investors."
SEC Exam Chief Di Florio Jumps to FINRA Post
In a surprising move, Carlo di Florio will leave the agency and become an executive vice president of FINRA.
New Hire Roundup: Westport Resources Promotes DeLaura
This week in new hires, Westport Resources promoted Christopher DeLaura and added Ashley Schexnaildre, and Susan Axelrod was promoted and Jonathan Sokobin was added by FINRA.
The 2013 IA 25 Special Report
With the 2013 IA 25, our 13th annual list of the most influential individuals in and around the advisor business, we decided to do something different.
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.