RBC Wealth Grabs Rival’s Top Recruiter
Michael Parker was an executive vice president and chief development officer for HighTower Advisors.
FINRA Zeros In on Bad Brokers, Arb Transparency and New Enforcement
It's been a little over a year since Robert Cook took the helm as CEO of the Financial Industry Regulatory Authority and launched a top-to-bottom review of the self-regulator via the FINRA360 initiative.
Is the Time Ripe for the SEC to Regulate Broker/Advisor Titles?
As the Securities and Exchange Commission mulls a fiduciary standard rule of its own, should the agency also tackle regulating advisor and broker titles?
LPL Lays Out Plans for NPH Broker-Dealer Integration
LPL Financial confirmed industry speculation by announcing that it recently bought Jackson National Life affiliate National Planning Holdings’ four broker-dealers.
GOP Framework Would Raise Taxes for Many of Your Clients
Analyses from the conservative-leaning Tax Foundation and liberal-leaning Tax Policy Center agree that those in the 90th-95th percentiles for income would pay more.
New York Reminds Student Borrowers to Apply for Loan Forgiveness
Trump has threatened to end the program, but Attorney General Schneiderman notes it's still intact and his office will help New Yorkers wrongfully denied eligibility.
Raymond James Taps New Exec in Indiana
Patrick O’Donovan has led branches and other operations for Smith Barney, Morgan Stanley and other financial firms for the past 32 years.
Kovack Securities Inks Outsourcing Deal to Add 35 Reps
The strategic alliance could boost the IBD’s assets to more than $10 billion.
Alabama Securities Director Borg Steps Up as NASAA President
As he starts his one-year term, Joseph Borg notes growing BD interest in the NASAA Model Fee Disclosure Schedule.
It’s FAFSA Time: Get Your Clients Ready
Parents and students can file these forms, which are required for financial aid and PLUS loans, as soon as Oct. 1.