SEC, FINRA Enforcement: Ticket-Brokering Pump-and-Dump Scheme Halted
Meanwhile, Merrill Lynch, Pierce, Fenner & Smith was censured and fined by FINRA on two separate issues.
How Schwab Cracked the Wirehouse Crowd
The indie firm’s consultants will help advisors build their businesses “long before you bring a single dollar to us,” Schwab’s Tim Oden says.
How to Communicate Compliantly With Social Media
Social media can be a complicated subject, especially considering the variety of ways advisors can adopt and leverage the channel.
Don’t Let Clients Take Their Passwords to the Grave
Digital estate planning expert Jamie Hopkins on how helping clients safeguard digital assets benefits advisors, and how it's even more complicated than you think.
Active Investors See Opportunity in Current Volatility: Fidelity Poll
The latest Fidelity Traders Summit poll gauges the favorite sectors of frequent traders and what they think the future holds for the S&P.
Saudis Sitting Pretty in Global Oil Price Plunge
There’s still only one country in a position to choose winners and losers in the global market: Saudi Arabia.
Krawcheck Calmly Rips Microsoft CEO Over Comments on Women
Krawcheck criticizes Satya Nadella’s advice that women shouldn’t ask for raises but should rely on “karma” instead.
3 Tips to Avoid Social Media Compliance Problems
No matter what social media platform advisors use, here are some important tips for staying compliant.
Hearsay Social Adds Vanguard & NY Life, Doubles Client Base
The social media platform provider says it now serves some 92,000 financial professionals.
2014 Broker-Dealers of the Year—Scenario 2: Keeping Your Top Producers
How do broker-dealer leaders respond when a top producer asks for a product that the compliance deparment doesn’t like?